Position Limits

A Position Limit is a limitation on the number of options or futures contracts an investor is allowed to hold. Position Limits are meant to prevent manipulation and excessive speculation in the market. 
News & Analysis as of

The Gift That Keeps On Giving: CFTC’s Misaligned Definition of Forward Contracts Gives Rise to Another Potential Burden on LDCs...

In our recent post, “CFTC Forward vs. Trade Option: LDCs Still Struggle as Trade Option Reporting Deadline Looms,” we discussed the unintended impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act...more

A Simple Framework for Determining Whether Dodd-Frank Applies to Your Energy Trade

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank” or the “Act”) authorizes the Commodity Futures Trading Commission (“CFTC”) to comprehensively regulate energy trading activities. Dodd-Frank is...more

CFTC Re-Proposes Position Limits Rule and Proposes Revised Aggregation Requirements

The US Commodity Futures Trading Commission (CFTC), on November 5, 2013, re- proposed a rulemaking (the Re-­Proposed Rule) that would establish specific limits on speculative positions in 28 physical commodity futures and...more

CFTC Proposes Speculative Position Limits – Again

On November 5, 2013, the Commodity Futures Trading Commission (“CFTC” or “Commission”) proposed new speculative position limits. The proposal (“New Proposal”) would establish spot-month and non-spot-month limits for 28 core...more

CFTC Proposes Further Amended Position Limit Aggregation Rules

On November 15, 2013, the Commodity Futures Trading Commission (the “CFTC”) published proposed revised aggregation rules for speculative position limits in certain commodity interests (the “Proposed Rules”). The Proposed...more

CFTC Issues Revised Position Limits Rule Proposal and Proposes Related Aggregation Standards

The CFTC voted on Tuesday to propose a new position limits rule that would establish limits on speculative positions in physical commodity futures contracts. The CFTC’s previous position limits rule was vacated last year by...more

CFTC Approves Position Limits Proposals

The Commodity Futures Trading Commission has proposed amendments to its existing speculative position limit regulations. The proposed amendments, which are being published in two separate releases, are being re-proposed by...more

CFTC Proposes Revised Position Limit Rules

On November 5, the Commodity Futures Trading Commission (CFTC) voted to propose rules that would expand the scope of the CFTC’s speculative position limit requirements for futures, options and swaps. On the same date, the...more

CFTC Proposes Revised Aggregation Rules

At a public meeting on November 5, the Commodity Futures Trading Commission (CFTC) voted to propose amendments to its rules requiring the aggregation of certain accounts for purposes of complying with CFTC speculative...more

CFTC Abandons Old Position Limits Rule In Favor Of New Rule

According to a statement by Commissioner O’Malia today, the CFTC has voted to dismiss its appeal of the federal district court decision striking down the CFTC’s 2011 position limits rule. The Commission has an open meeting...more

CFTC Responds To FAQ On Commodity Options

Today, the CFTC Division of Market Oversight published a response to frequently asked questions regarding commodity options, including reporting obligations with respect to trade options. The response clarified a few...more

Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future [Video]

Jill Sommers, Commissioner of the Commodity Futures Trading Commission (CFTC), is stepping down after the first quarter of this year. Sommers spoke with JLN editor-in-chief Jim Kharouf about the progress of Dodd-Frank,...more

Regulation 2013: Dodd-Frank Position Limits, CFTC Reuthorization, Regulatory Harmonization [Video]

Sanjeev Joshipura, president of Commodity Markets Council, talks about how Dodd-Frank rules will impact his membership base. Joshipura talks with JLN editor-in-chief Jim Kharouf about the future of the controversial...more

Financial Services Bulletin: Action at Federal Agencies

In This Alert: - Federal Agencies Provide Guidance on Regulatory Capital Rulemakings - CFTC Proposes Customer Protection Rules - CFTC Approves Appeal of Court Decision on Position Limits Rule - Federal Agencies...more

CFTC Approves Appeal of Position Limit Decision

The CFTC approved an appeal of the September 28, 2012 federal district court decision that vacated the agency’s position limits rule based on a finding that the agency had neglected to first find that the limits were...more

Why Is CFTC Planning to Appeal Judge’s Ruling in Dodd-Frank Case?

The Commodity Futures Trading Commission (CFTC) is apparently going to appeal a U.S. district judge’s ruling that had overturned its decision to impose limits on the number of contracts that commodity traders can hold....more

Court Vacates New CFTC Position Limit Regulations

In a widely reported decision, on September 28, 2012 the federal District Court for the District of Columbia vacated the Commodity Futures Trading Commission’s (“CFTC”) regulations imposing position limits on speculative...more

ISDA and SIFMA Win Summary Judgment on Challenge to CFTC Position Limits Rule

The United States District Court for the District of Columbia granted summary judgment for plaintiffs International Swaps and Derivatives Association (ISDA) and Securities Industry and Financial Markets Association (SIFMA),...more

Exchanges Withdraw Proposed Revisions to Position Limit Rules Following Court Order Vacating CFTC Position Limit Rules

On September 28, the United States District Court for the District of Columbia vacated the Commodity Futures Trading Commission’s revised position limit rules for futures and swaps. The revised rules, which were scheduled to...more

Financial Services Bulletin: Updates on NYSE, NASDAQ, and CFTC Rules

NYSE and Nasdaq Propose Changes to Compensation Committee Independence Rules. On Tuesday, September 25, 2012, the New York Stock Exchange ("NYSE") and the NASDAQ Stock Marker ("Nasdaq") filed proposed amendments to...more

Judicial Developments: CFTC Position Limits Rule Struck Down by the Courts

On September 29, 2012, the US District Court for the District of Columbia struck down the position limits rule promulgated by the Commodity Futures Trading Commission ("CFTC") that would have gone into effect October 12,...more

Tax and Financial Services: Legal Challenge To CFTC Position Limits

On September 28, 2012, the U.S. District Court for the District of Columbia struck down the Commodity Futures Trading Commission’s (CFTC) final rule on position limits, which was enacted as part of the agency’s implementation...more

Focus on Private Equity -- Issue 2, October 2012

In This Issue: Excerpt from Year-End Tax Planning Steps for Private Equity The last time the Bush tax cuts were set to expire at the end of 2010, we saw numerous clients scrambling to execute end-of-the-year...more

District Court Rejects CFTC Rule on Position Limits, for Now

On September 28, 2012, in the case of International Swaps and Derivatives Association v. U.S. Commodity Futures Trading Commission, the District Court for the District of Columbia (the "Court") ruled that the Commodity...more

"Court Vacates CFTC Position Limit Rules"

On September 28, 2012, Judge Robert Wilkins of the U.S. District Court for the District of Columbia granted the summary judgment motion of the International Swaps and Derivatives Association and Securities Industry and...more

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