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Exemptions › Commodities Futures Trading Commission › Deadlines

Foley Hoag LLP

CFTC 4.13(a)(3) Annual Affirmations Due February 29

Foley Hoag LLP on

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

Foley Hoag LLP

CFTC 4.13(a)(3) Annual Affirmations Due March 2

Foley Hoag LLP on

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

Latham & Watkins LLP

CFTC Issues Guidance, Exemptions In Advance of SEF Rule Compliance Date

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Staff responds to industry concerns and confusion surrounding SEF operations and onboarding. One of the key aspects of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) is...more

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