News & Analysis as of

Commodity Trading Advisors

Corporate and Financial Weekly Digest - Volume XII, Issue 2

2017 Examination Priorities Announced by the SEC - On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, which seek to...more

Financial Services Weekly News - December 2016

by Goodwin on

Editor's Note - OCC to Move Forward with Federal FinTech Charter. In a development foreshadowed in the April 6, June 29 and September 14 editions of the Roundup, on December 2, the Office of the Comptroller of the...more

Corporate and Financial Weekly Digest - Volume XI, Issue 38

BROKER-DEALER - FINRA Proposes Rule to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility - On September 28, the Financial Industry Regulatory Authority proposed an amendment to modify...more

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

by Morgan Lewis on

The National Futures Association’s (NFA’s) latest proposal would require registered commodity pool operators and commodity trading advisors to provide new information about their financial condition in quarterly reports to...more

Bridging the Week - September 2016

NFA Proposes Requiring CTAs and CPOs to File Certain Financial Ratio Information: The National Futures Association submitted to the Commodity Futures Trading Commission for its approval a new requirement that would mandate...more

Recent CFTC/NFA Regulatory Actions Affecting Commodity Pool Operators and Commodity Trading Advisors

by K&L Gates LLP on

During August 2016, the Commodity Futures Trading Commission (“CFTC” or “Commission”) and National Futures Association (“NFA”) published several items that will affect commodity pool operators (“CPO”) and commodity trading...more

CFTC Rule 3.10(c)(3): CFTC proposed amendments

by White & Case LLP on

On July 27, 2016 the Commodity Futures Trading Commission ("CFTC") released proposed amendments to the exemption from registration as an IB, a CTA or a CPO contained in CFTC Rule 3.10(c)(3) that remove the clearing...more

CFTC Proposed Registration Relief for Non-U.S. Futures Commission Merchants, Commodity Pool Operators, Commodity Trading Advisors...

On July 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) proposed amendments to its rules (“Proposed Rules”) that loosen the conditions for exemption from registration as a futures commission merchant (“FCM”),...more

CFTC Proposes Permanent Registration Relief to Certain Non-US Asset Managers

by Morgan Lewis on

The amendments to the CFTC’s registration rules will codify no-action relief that permits non-US asset managers to rely on an exemption from the requirement to register with the CFTC by virtue of trading uncleared swaps in...more

Late Fee for NFA Forms PQR and PR Filings Effective Starting September 30, 2016

by Foley Hoag LLP on

The National Futures Association recently amended NFA Compliance Rule 2-46 in order to impose late fees for its commodity pool operator (CPO) and commodity trading adviser (CTA) members that do not make quarterly filings on...more

No-Action Relief from CFTC Rule 3.10(c)(3) Clearing Requirement

by White & Case LLP on

CFTC grants no-action relief regarding the application of the exemption in CFTC Rule 3.10(c)(3) to swaps that are not subject to a clearing requirement. On February 12, 2016 the Commodity Futures Trading Commission...more

Reminder: March 1, 2016 Effective Date for Information Systems Security Programs Including Cybersecurity for NFA Members

As noted in our earlier Foley Adviser, March 1, 2016 is the effective date for NFA member firms (including futures commissions merchants, commodity trading advisors, commodity pool operators, introducing brokers, retail...more

CFTC Staff Clarifies Registration Relief Available to Non-US Asset Managers

by Morgan Lewis on

No-action relief confirms that non-US asset managers may rely on an exemption from CFTC registration when trading uncleared swaps in the United States for the accounts of their non-US clients, an issue that had been in doubt...more

CFTC Staff Issues No-Action Relief Helpful for Non-U.S. Commodity Pool Operators and Commodity Trading Advisors

by Dechert LLP on

The U.S. Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) provided no-action relief on February 12, 2016 to commodity pool operators (CPOs) and commodity trading advisors...more

Investment Management, Trading & Markets Advisory: Annual CPO or CTA Exemption or Exclusion Affirmations Due by February 29, 2016;...

by Alston & Bird on

Any firm that is currently claiming certain exemptions or exclusions from registration with the Commodity Futures Trading Commission (CFTC) as a commodity pool operator (CPO) or commodity trading advisor (CTA) is required to...more

Bridging the Week - January 2016 #3

Non-US Broker Fined by CFTC for Soliciting Futures Orders and Handling Funds for Two US Customers Without Registration or an Exemption: Otkritie Capital International, Ltd., a UK-based broker, agreed to settle charges with...more

Deadline Approaches for Annual CPO/CTA Exemption Filings

by Morgan Lewis on

Firms must affirm their exemption or exclusion from CPO or CTA registration on the National Futures Association’s Exemption Filing System by February 29....more

CFTC Provides Relief from Certain Recordkeeping Requirements Applicable to CPOs and CTAs

by Ropes & Gray LLP on

Effective December 24, 2015, the Commodity Futures Trading Commission (the “CFTC”) revised its Rule 1.35(a) to provide relief from certain recordkeeping requirements for commodity pool operators (“CPOs”) and commodity trading...more

Guidance on CPO and CTA Annual Affirmations Requirements Due By February 29, 2016 and General Compliance Requirements for...

by Reed Smith on

On December 1, 2015, the National Futures Association (the NFA) issued a notice to members to remind them of certain Commodity Futures Trading Commission (CFTC) regulations that require any person claiming an exemption or...more

U.S. Commodity Futures Trading Commission Divisions Issue Time-Limited No-Action Letter Extending Relief from Certain...

On December 8, 2015, the U.S. Commodity Futures Trading Commission’s (the “CFTC”) Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight issued a time-limited no-action letter extending the relief...more

CFTC and NFA Issue FAQS on Form CPO-PQR and Form CTA-PR

by Foley Hoag LLP on

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (the “CFTC”) recently issued answers to Frequently Asked Questions (“FAQs”) regarding CFTC Form CPO-PQR applicable to...more

NFA Releases Guidance for Those Operating Under an Exemption or Exclusion From CPO or CTA Registration

On December 1, the National Futures Association (NFA) released guidance pertaining to the annual affirmation requirement for persons or entities that claim an exemption or exclusion from commodity pool operator (CPO)...more

CFTC Provides Responses to Frequently Asked Questions Regarding Commission Form CPO-PQR and CTA-PR

by Katten Muchin Rosenman LLP on

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight has issued responses to frequently asked questions (FAQs) regarding Commission Forms CPO-PQR and CTA-PR. The FAQs for Commission...more

NFA Issues Notice to CPOs and CTAs Regarding EasyFile Logistics for CTA FORM PR and CPO Form PQR

by Katten Muchin Rosenman LLP on

The National Futures Association issued a notice explaining how Commission Forms CPO-PQR and CTA-PR can be filed through the NFA’s EasyFile System. To address member feedback on the EasyFile procedures, NFA has launched...more

Financial Services Weekly News - November 2015 #2

by Goodwin on

Regulatory Developments: CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR - On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more

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