Reporting Requirements, CFTC | JD Supra Law News

NFA Amends CPO and CTA Quarterly Reporting Requirements

by Blake Brockway, Kevin M. Foley, Christian Hennion | Katten Muchin Rosenman LLP on 4/30/2013

On April 24, the National Futures Association (NFA) issued a notice to members regarding amendments to NFA Compliance Rule 2-46. The amended rule modifies the NFA’s quarterly pool reporting requirements and extends related...more

Legal Alert: Nearly at the Buzzer, CFTC Affords End-Users Relief from Dodd-Frank Reporting Requirements

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. | Sutherland Asbill & Brennan LLP on 4/22/2013

On the brink of the compliance date for arguably one of the most burdensome requirements that end-users face under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Commodity Futures Trading...more

The New CFTC Regulatory Regime For Private Fund Managers; First Quarter 2013 Update

by Edward Eisert, Evelyn Grant, Nik Mathews, Jonas Robison | Orrick, Herrington & Sutcliffe LLP on 4/19/2013

The enactment of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and its implementation by the Commodity Futures Trading Commission (“CFTC”) has ushered in a new era of...more

CFTC Staff Issues No-Action Letters

by Kevin M. Foley, Ross Pazzol, Adam J. Spector | Katten Muchin Rosenman LLP on 4/16/2013

Commodity Futures Trading Commission staff recently released three no-action letters providing relief relating to swap data reporting requirements with respect to trade options, inter-affiliate swaps and real-time reporting...more

Corporate and Financial Weekly Digest - April 12, 2013

by Katten Muchin Rosenman LLP on 4/15/2013

In this issue: - SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft - CME Block Trade Advisories Clarify Nonpublic Information Restrictions - CFTC Staff Issues No-Action...more

"SEC Releases Additional Frequently Asked Questions Regarding Form PF"

by Geoff Bauer, Anastasia T. Rockas | Skadden, Arps, Slate, Meagher & Flom LLP on 4/12/2013

The Securities and Exchange Commission (the “SEC”) has released several rounds of additional Frequently Asked Questions (“FAQs”) regarding Form PF, the private fund systemic risk reporting form promulgated by the SEC and the...more

"CFTC Delays April 10 Compliance Date for Many Swap Data Reporting Requirements"

by Maureen A. Donley, Elizabeth Doyle, Ryan Elsey, Joyce Penn Farnsworth, Ann Hawkins, Theodore M. Kneller, Daniel S. Konar II, Yossi Vebman, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 4/11/2013

On April 9, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight, responding to requests from multiple interested parties, issued a no-action letter (the No-Action Letter) extending the April...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 Extends Compliance Dates For End User Swap Reporting

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 4/10/2013

The CFTC has issued a no-action letter that effectively extends the dates for swap counterparties who are not swap dealers (SDs) or major swap participants (MSPs) to come into compliance with the agency’s reporting rules...more

"CFTC Issues No-Action Relief From Certain Inter-Affiliate Swap Reporting Requirements"

by Maureen A. Donley, Ryan Elsey, Theodore M. Kneller, Daniel S. Konar II, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 4/10/2013

On April 5, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight and Division of Clearing and Risk provided no-action relief (the No-Action Letter) from certain reporting requirements relating...more

CFTC No-Action Relief for Commodity Pools

by Orrick - Structured Finance Group on 4/9/2013

On April 2, the CFTC issued a time limited no-action letter that extended the deadline for compliance with reporting for commodity pool operators of securitization vehicles from March 31 until June 30....more

Impending Swap Reporting Requirements to Impact All Swap Market Participants

by Maureen A. Donley, Joyce Penn Farnsworth, Ann Hawkins, Theodore M. Kneller, Daniel S. Konar II, Yossi Vebman, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 4/5/2013

All swap market participants, including commercial end-users, should be aware of the upcoming April 10 deadline for Commodity Futures Trading Commission (CFTC) swap reporting and recordkeeping requirements under Parts 43, 45...more

CFTC Exempts Interaffiliate Trades From Dodd-Frank Clearing

by Elan Mendel | Shipkevich PLLC on 4/2/2013

The CFTC has adopted a rule that exempts interaffiliate trades from the Dodd-Frank Act requirements for clearing. Barclays, JPMorgan Chase & Co., and other banks are among those exempt from the Dodd-Frank Act swap market...more

CFTC Approves Final Regulations Governing Exemption From Required Clearing For Inter-Affiliate Swaps

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 4/2/2013

The CFTC has issued a final rule to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act, or CEA, and CFTC regulations. ...more

Orrick's Financial Industry Week in Review - March 25, 2013

by Orrick, Herrington & Sutcliffe LLP on 3/25/2013

In This Issue: *Financial Industry Developments - Agencies Issue Updated Leveraged Lending Guidance - CFTC No-Action Relief from Required Clearing for Some Partial Swap Novations and Terminations - FHFA...more

CFTC’s Initial Attempts At Data Collection Fail

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/21/2013

Since the beginning of 2013, the CFTC has required certain market participants to report their interest rate and credit index swap trades to a swap data repository, or SDR. CFTC Commissioner Scott D. O’Malia recently...more

FCMs Required to Have Chief Compliance Officer by March 29

by Blake Brockway, Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 3/20/2013

Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more

CFTC Reminds Market Participants of Swap Data Reporting Requirements

by Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 3/20/2013

The Commodity Futures Trading Commission’s Division of Market Oversight issued an advisory to remind market participants that pursuant to Parts 43 and 45 of the CFTC’s regulations, swap dealers were required to begin...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

Energy Alert: Deadline Approaches For Energy Company Swap Reporting

by Nate Endrud | Leonard, Street and Deinard on 3/19/2013

The CFTC's Dodd-Frank swap reporting and recordkeeping requirements become mandatory on April 10, 2013, for all persons and companies engaging in swaps. These requirements include the agency's swap data reporting and...more

Orrick's Financial Industry Week in Review - March 18, 2013

by Orrick, Herrington & Sutcliffe LLP on 3/19/2013

In This Issue: *Financial Industry Developments - CFTC Announces the Start of Mandatory Clearing - CFTC Reminds Market Participants of Swap Data Reporting Requirements - Rating Agency Developments...more

CFTC Reminds Market Participants of Swap Data Reporting Requirements

by Orrick - Structured Finance Group on 3/19/2013

On March 8, the CFTC issued an Advisory reminding market participants that swap dealers were required to begin reporting data regarding equity, foreign exchange, and other commodity swaps, under Parts 43 and 45 of the CFTC’s...more

Corporate and Financial Weekly Digest - March 15, 2013

by Katten Muchin Rosenman LLP on 3/18/2013

In this issue: - Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee - SEC Proposes Rules Regarding Technology Systems - FINRA Amends Rules to Address Extraordinary Market...more

Financial Services Bulletin: Action At The CFTC And SEC

by Perkins Coie on 3/15/2013

On Wednesday, March 6, 2013, the Commodity Futures Trading Commission (the "CFTC") approved the request from the Chicago Mercantile Exchange Inc. (the "CME") for the CME to adopt new Chapter 10 and new Rule 1001 in the CME’s...more

CFTC Approves CME Swap Data Reporting Rule

by Kevin M. Foley, Kenneth M. Rosenzweig, Tanja Samardzija | Katten Muchin Rosenman LLP on 3/13/2013

On March 6, the Commodity Futures Trading Commission approved the Chicago Mercantile Exchange Inc.’s (CME) request to adopt CME Rule 1001. CME Rule 1001 addresses the CME’s obligation, in its capacity as a derivatives...more

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Reporting Requirements › Commodities Futures Trading Commission

NFA Amends CPO and CTA Quarterly Reporting Requirements

Legal Alert: Nearly at the Buzzer, CFTC Affords End-Users Relief from Dodd-Frank Reporting Requirements

The New CFTC Regulatory Regime For Private Fund Managers; First Quarter 2013 Update

CFTC Staff Issues No-Action Letters

Corporate and Financial Weekly Digest - April 12, 2013

"SEC Releases Additional Frequently Asked Questions Regarding Form PF"

"CFTC Delays April 10 Compliance Date for Many Swap Data Reporting Requirements"

CFTC Approves Clearing Exemption for Inter-Affiliate Swaps

CFTC Extends Compliance Dates For End User Swap Reporting

"CFTC Issues No-Action Relief From Certain Inter-Affiliate Swap Reporting Requirements"

CFTC No-Action Relief for Commodity Pools

Impending Swap Reporting Requirements to Impact All Swap Market Participants

CFTC Exempts Interaffiliate Trades From Dodd-Frank Clearing

CFTC Approves Final Regulations Governing Exemption From Required Clearing For Inter-Affiliate Swaps

Orrick's Financial Industry Week in Review - March 25, 2013

CFTC’s Initial Attempts At Data Collection Fail

FCMs Required to Have Chief Compliance Officer by March 29

CFTC Reminds Market Participants of Swap Data Reporting Requirements

Party to a Swap Contract? CFTC Registration Rules Apply

Energy Alert: Deadline Approaches For Energy Company Swap Reporting

Orrick's Financial Industry Week in Review - March 18, 2013

CFTC Reminds Market Participants of Swap Data Reporting Requirements

Corporate and Financial Weekly Digest - March 15, 2013

Financial Services Bulletin: Action At The CFTC And SEC

CFTC Approves CME Swap Data Reporting Rule

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