Commodities Futures Trading Commission

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace.

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News & Analysis as of May 23, 2013

CFTC Reviewing Over 1 Million E-mails In ISDAfix Interest-Rate Swaps Investigation

by Felix Shipkevich | Shipkevich PLLC on 5/22/2013

CFTC investigators are reviewing over one million e-mails and instant messages as part of an investigation into possible price manipulation of ISDAfix interest-rate swaps....more

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

CFTC Adopts Final Rules for Execution Facilities and Other Matters

by Blake Brockway, Kevin M. Foley | Katten Muchin Rosenman LLP on 5/21/2013

During an open meeting on May 16, the Commodity Futures Trading Commission adopted a final rule establishing core principles and other requirements for swap execution facilities, which will become effective 60 days after...more

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/20/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - The conflation of three scandals clearly tainted President Obama...more

CFTC Approves SEF Rules And Swaps Block Rule

by Felix Shipkevich | Shipkevich PLLC on 5/20/2013

On Thursday the CFTC approved the Swaps Block Rule, the Made Available to Trade Rule, the SEF rules, and the Interpretive Guidance and Policy Statement on Disruptive Practices....more

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

by Mara Giorgio, Micah Green, Matthew Kulkin | Patton Boggs LLP on 5/20/2013

On May 1, 2013, the Securities and Exchange Commission (SEC or Commission) held an open meeting to consider: - Whether to propose new rules and interpretive guidance for cross-border security-based swap (SBS)...more

SEF Rules Approval Leads To Early December Projection For Transacting All Standardized Swaps On SEFs

by Elan Mendel | Shipkevich PLLC on 5/20/2013

With the CFTC’s approval of the SEF rules last Thursday, swap users and would-be SEFs are targeting early December as the time when all swap users will be transacting standardized swaps on SEFs....more

Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

by Cole Beaubouef, Scott H. Moss | Lowenstein Sandler LLP on 5/20/2013

On April 10, 2013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated...more

Corporate and Financial Weekly Digest - May 17, 2013

by Katten Muchin Rosenman LLP on 5/20/2013

In this issue: - CFTC Adopts Final Rules for Execution Facilities and Other Matters - FINRA Issues Interpretive Guidance on Use of Back Tested Index Data by ETPs - Mississippi District Court Defers to New...more

CFTC Approves Trade Execution Rules

by Elan Mendel | Shipkevich PLLC on 5/17/2013

At 10:00 a.m. on Thursday, the CFTC held an open meeting to consider trade execution rules and interpretive guidance regarding anti-disruptive trading practices authority....more

CFTC To Propose New Rule On Position Limits By June

by Felix Shipkevich | Shipkevich PLLC on 5/16/2013

The Commodity Futures Trading Commission (CFTC) intends to will reveal it’s new rule on speculative positions limits within the next six weeks. ...more

CFTC (And FERC) Compliance Managers Take Note – CFTC Schedules Vote On Final Interpretation Of Disruptive Trading Practices

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 5/15/2013

At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of...more

CFTC To Investigate EFS Trades In Energy And Metal Markets

by Elan Mendel | Shipkevich PLLC on 5/15/2013

The Commodity Futures Trading Commision (CFTC) is investigating a large number of trades in energy and metal markets to determine whether traders illegally used over-the-counter swaps markets to trade futures....more

SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps

by Janet M. Angstadt, Avi Badash | Katten Muchin Rosenman LLP on 5/15/2013

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and Exchange Commission and the Commodity Futures Trading Commission. The SEC has...more

CFTC May Make Changes To Proposed Dodd-Frank Rule Regarding FCMs

by Felix Shipkevich | Shipkevich PLLC on 5/14/2013

The Commodity Futures Trading Commission (CFTC) is considering making adjustments to the Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

CFTC To Vote On Dodd-Frank SEF Rules

by Felix Shipkevich | Shipkevich PLLC on 5/13/2013

The Commodity Futures Trading Commission (CFTC) will vote next week on the Swap Execution Facilities (SEF) rules overseeing derivatives under the Dodd-Frank Wall Street Reform Act....more

CFTC Considering Lower Price Quote Requirement For Dodd-Frank Swap Rule

by Elan Mendel | Shipkevich PLLC on 5/9/2013

The Commodity Futures Trading Commission (CFTC) is reportedly contemplating lowering the number of price quotes a buyer is required to request before trading swaps....more

U.S. Treasury Advises Against Dodd-Frank Alterations

by Elan Mendel | Shipkevich PLLC on 5/8/2013

The U.S. Treasury Department is opposing a number of proposals that would alter new derivatives regulations in the Dodd- Frank Wall Street Reform Act....more

Senators to FERC, CFTC: Play Nicely on Energy Market Oversight

by Jack N. Semrani, Dena E. Wiggins | Ballard Spahr LLP on 5/8/2013

Three U.S. Senators are calling for the Commodity Futures Trading Commission (CFTC) and the Federal Energy Regulatory Commission (FERC) to work more cooperatively on ensuring comprehensive oversight of energy markets. The...more

CFTC Staff Issues No-Action Letters

by Kevin M. Foley, Adam J. Spector | Katten Muchin Rosenman LLP on 5/7/2013

Commodity Futures Trading Commission staff recently released two no-action letters providing relief relating to the application of business conduct standards to prime brokers and swap dealers and disclosure of pre-trade...more

CFTC Provides Foreign Exchange Prime Brokers Relief

by Felix Shipkevich | Shipkevich PLLC on 5/7/2013

The Commodity Futures Trading Commission (CFTC) gave last-minute relief to Foreign Exchange prime brokers after listening to complaints that the market could be threatened by new business conduct rules....more

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

by Elan Mendel | Shipkevich PLLC on 5/6/2013

The Depository Trust & Clearing Corp. (DTCC) sued the Commodity Futures Trading Commission (CFTC) on Friday claiming that the derivatives regulator made “anti-competitive rules,” regarding swap trading data, that favor two...more

Corporate and Financial Weekly Digest - May 3, 2013

by Katten Muchin Rosenman LLP on 5/6/2013

In this issue: - SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities - CFTC Staff Issues No-Action Letters - Delaware Court Dismisses Securities Fraud Action Against Power Plant...more

CFTC Reiterates That “Wash Trades” Are “Grave Violations” In Penalizing Two Experienced Traders For Wash Trading

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 5/3/2013

On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide positions in the market, such as simultaneous purchases and sales designed to...more

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