Exemptions, CFTC | JD Supra Law News

Financial Services Bulletin: Action At The CFTC, SEC, And Fed

by Perkins Coie on 4/12/2013

On Thursday, March 28, 2013, the Commodity Futures Trading Commission (the "CFTC") approved a final order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric...more

CFTC Approves Clearing Exemption for Inter-Affiliate Swaps

by Blake Brockway, Ross Pazzol | Katten Muchin Rosenman LLP on 4/10/2013

On April 1, the Commodity Futures Trading Commission approved a final rule that permits certain affiliates to elect not to clear a swap. To qualify for the clearing exemption, the counterparties’ financial statements must be...more

"CFTC No-Action Letter Relieves End-Users of Part 45 Reporting for Trade Options"

by Maureen A. Donley, Erik Elsea, Theodore M. Kneller, Daniel S. Konar II, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 4/8/2013

On April 5, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) provided end-users no-action relief (the No-Action Letter) from certain “trade option” reporting and recordkeeping...more

CFTC’s Final Rule Exempting Certain RTO Transactions From CFTC Regulation Largely Affirms Earlier Order But Offers Helpful Changes...

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 4/8/2013

On March 28, 2013, the Commodity Futures Trading Commission issued a final rule that largely affirmed its earlier proposal to exempt certain FERC and Texas PUC regulated transactions from CFTC jurisdiction and provided...more

Family Office Relief from CPO Registration

by W. Scott McGinness Jr. | Miller & Martin PLLC on 2/26/2013

As noted in an earlier Client bulletin, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued a no-action letter dated November 29, 2012 enabling...more

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

by Jeffrey D. Collins, Meredith Haviland, Diana W. Lo | Foley Hoag LLP on 2/25/2013

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more

Corporate and Financial Weekly Digest - February 8, 2013

by Katten Muchin Rosenman LLP on 2/11/2013

In this issue: - ISS Announces ISS Governance QuickScore to Replace GRId - Petitioners File Opening Brief Challenging SEC’s Conflict Minerals Rule - SEC Roundtable Discusses Decimalization and Tick Sizes -...more

CFTC Exemptive Order on Cross-Border Application of Swap Provisions of Dodd-Frank

by Orrick - Structured Finance Group on 1/8/2013

On December 21, 2012, the CFTC approved an exemptive order which provides relief from certain cross-border applications of the swaps provisions of the Dodd-Frank Act and the related regulations....more

CFTC Final Interpretive Guidance on Foreign Regulators’ Indemnification and Confidentiality Obligations

by Orrick - Structured Finance Group on 11/6/2012

On October 22, the CFTC issued final interpretive guidance to, under certain circumstances, exempt foreign regulators from the indemnification and confidentiality provisions in the Dodd-Frank Act....more

Barney Frank Urges CFTC Decision to Prevent FX Withdrawals

by Shipkevich PLLC on 9/26/2012

U.S. Representative Barney Frank has written a letter to regulators at the CFTC, urging them to make a decision about FX exemptions. “If Treasury ultimately plans to provide an exemption, it would be a complete waste...more

CFTC No-Action Letter on Trade Option Exemption

by Orrick - Structured Finance Group on 8/23/2012

On August 15, the CFTC issued a no-action letter providing that, for a limited time, market participants can rely on the trade option exemption in CFTC regulation 32.3 without complying with specified provisions....more

CFTC Proposes Exemptions to Regulation of Transactions in ISO/RTO Markets as “Swaps” Under CEA

by Leonard, Street and Deinard - Dodd-Frank and... on 8/23/2012

The Commodity Futures Trading Commission (CFTC) has proposed to exempt specific transactions in FERC-administered ISO and RTO markets and the Electric Reliability Council of Texas (ERCOT) from the provisions of the Commodity...more

CFTC Staff Responds to FAQs Regarding Rescission/Modification of CPO/CTA Registration Exemptions

by K&L Gates LLP on 8/21/2012

The Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (“CFTC”) issued responses on August 14, 2012 to frequently asked questions (“FAQs”) submitted by several trade...more

CFTC Issues Guidance on Compliance Obligations for CPOs and CTAs

by Katten Muchin Rosenman LLP on 8/21/2012

On August 14, the Commodity Futures Trading Commission issued a set of responses to frequently asked questions (FAQs) related to the compliance obligations of commodity pool operators (CPOs) and commodity trading advisors....more

CFTC Proposes Inter-Affiliate Clearing Exemption

by Katten Muchin Rosenman LLP on 8/21/2012

On August 16, the Commodity Futures Trading Commission issued a proposed rule to exempt swaps between certain affiliated entities from the clearing requirement set forth in the Dodd-Frank Wall Street Reform and Consumer...more

CFTC Proposes Rule on Inter-Affiliate Clearing Exemption

by Shipkevich PLLC on 8/17/2012

The CFTC voted 3 to 2 yesterday to release a proposal that would allow swaps between financial firms with a common parent (“affiliate firms”) to be exempt from clearing requirements....more

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Exemptions › Commodities Futures Trading Commission