Cary Meer

K&L Gates LLP

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National Futures Association Proposes Amendments to Compliance Rules; Releases FAQs and Other Information on Upcoming Swaps...

By letters to the Commodity Futures Trading Commission (“CFTC”) dated August 29, 2019, the National Futures Association (“NFA”), the self-regulatory organization for the U.S. derivatives industry, submitted proposed...more

12/3/2019 / CFTC , National Futures Association , Proposed Amendments , Swap Dealers , Swaps

CFTC Amends Recordkeeping Requirements

On May 23, 2017, the Commodity Futures Trading Commission (“CFTC” or “Commission”) adopted amendments to its general regulations regarding the retention and production of regulatory records, which are set forth in CFTC...more

6/5/2017 / CFTC , Commodity Exchange Act (CEA) , Recordkeeping Requirements , Swap Dealers , Swaps

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool operators (“CPO”) under the Commodity Exchange Act that operate commodity pools...more

2/7/2017 / CFTC , Commodity Pool , CPO , Financial Statements , NFA , No-Action Relief , Registered Investment Companies (RICs) , Securities and Exchange Commission (SEC) , Swap Dealers

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

The Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or the “Commission”) recently issued CFTC Letter No. 14-69 (May 12, 2014) (the “Letter”), which...more

6/9/2014 / CFTC , Commodities , Commodity Pool , CPO , No-Action Relief , Securities and Exchange Commission (SEC) , Swap Dealers , Swaps

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