Registration, CFTC | JD Supra Law News

CFTC Staff Issues No-Action Letters

by Blake Brockway, Kevin M. Foley | Katten Muchin Rosenman LLP on 4/10/2013

The Commodity Futures Trading Commission staff recently released a series of letters relating to a variety of regulatory issues, including registration relief for certain entities and recordkeeping requirements for certain...more

SEC Amends Filing Requirements for Dually Registered Clearing Agencies

by James M. Brady, Ross Pazzol, James Van De Graaff | Katten Muchin Rosenman LLP on 4/9/2013

The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more

Party to a Swap Contract? CFTC Registration Rules Apply

by Daniel Danello, Mitchell Kolkin | Venable LLP on 3/20/2013

Please note the April 10, 2013, deadline to register and obtain a Legal Entity Identifier (LEI), described in the advisory recently released by the Commodity Futures Trading Commission (CFTC). LEI registration is...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

NFA Registers Cargill As Swap Dealer

by Elan Mendel | Shipkevich PLLC on 2/25/2013

The National Futures Assocation (NFA) announced yesterday that Cargill Inc is the first major non-financial entity to be registered as a swap dealer. Cargill operates in a range of commodity markets and is based out of...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

NFA to Require CPOs to Identify Registered Investment Companies

by Kevin M. Foley, Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 2/6/2013

The National Futures Association (NFA) has notified its members that it will require each member of the NFA that is registered as a commodity pool operator (CPO) and operates one or more commodity pools that are also...more

CFTC Announces Beginning of Real-Time Reporting and Swap Dealer Registration Requirements and Releases List of Provisionally...

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Alexander S. Holtan, Meltem F. Kodaman, more +Catherine M. Krupka, David T. McIndoe, Raymond A. Ramirez, Mark D. Sherrill, R. Michael Sweeney, Jr., Paul B. Turner | Sutherland Asbill & Brennan LLP on 1/3/2013

Today, Wednesday, January 2, 2013, the Commodity Futures Trading Commission (CFTC) announced that final rules pertaining to: (1) real-time reporting of swap transaction data; and (2) swap dealer registration requirements,...more

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

by Kathleen H. Moriarty, Peter J. Shea, Gregory E. Xethalis | Katten Muchin Rosenman LLP on 12/29/2012

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

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Registration › Commodities Futures Trading Commission