News & Analysis as of

Commodity Exchange Act (CEA) Derivatives Clearing Organizations

Holland & Knight LLP

CFTC Seeks Comments on Use of AI in Derivatives Markets

Holland & Knight LLP on

The Commodity Futures Trading Commission (CFTC) has issued a request for comment (RFC) seeking public input on the use of artificial intelligence (AI) in CFTC-regulated markets. The RFC – distributed jointly by the CFTC's...more

Davis Wright Tremaine LLP

CFTC Approves Two Rulemaking Proposals and a DCO Application

The Commodity Futures Trading Commission ("CFTC" or "Commission") issued two proposed rules on December 18, 2023, both of which are now open for public comment. The first proposed rule would create an "Operational Resilience...more

Cadwalader, Wickersham & Taft LLP

CFTC’s Proposal on Investment of Customer Funds

On November 3, 2023, the Commodity Futures Trading Commission (“CFTC”) proposed to significantly amend the rules on investment of customer funds by futures commission merchants (“FCMs”) and derivatives clearing organizations...more

Davis Wright Tremaine LLP

CFTC Issues Staff Advisory Letters on DCO Regulation: Prime Brokerage Arrangements and Digital Assets

In May 2023, the Division of Clearing and Risk ("DCR") of the Commodity Futures Trading Commission ("CFTC") issued two Staff Advisory letters addressing areas of regulatory focus related to Derivatives Clearing Organizations...more

Orrick - Finance 20/20

CFTC Unanimously Approves Final Rule for Granting Exemptions from Derivatives Clearing Organization Registration

Orrick - Finance 20/20 on

On November 18, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule establishing a framework for the Commission to grant an exemption from registration as a derivatives clearing...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Finalizes Post-Trade Name Give-Up Rule, Introduces New Electronic Trading Proposal

On June 25, 2020, the Commodity Futures Trading Commission (CFTC or Commission) held an open meeting and voted unanimously to approve a final rule prohibiting post-trade name give-up for swaps executed anonymously on a swap...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Articles on the Latest CFTC Proposals for Swap Margins, Non-US Clearing...

BROKER-DEALER - CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers - CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to amend provisions...more

A&O Shearman

CFTC Proposes Amendments to DCO Core Principle Regulations

A&O Shearman on

The Commodity Futures Trading Commission (CFTC) has proposed a series of changes to its general regulations governing derivatives clearing organizations (DCOs). The CFTC has stated that the proposed amendments are intended to...more

WilmerHale

CFTC Proposes Additional Swap Data Reporting Requirements

WilmerHale on

The Commodity Futures Trading Commission (CFTC) is proposing a significant, new reporting burden on swaps reporting parties and on swaps data repositories (SDRs). The proposal would impose new requirements on SDRs to verify...more

A&O Shearman

CFTC Proposes New Rules on DCO Exemptions

A&O Shearman on

On August 8, 2018 the Commodity Futures Trading Commission (CFTC) voted unanimously to propose rules (Proposed Rules) which would codify policies and procedures related to exempting derivatives clearing organizations (DCOs)...more

K&L Gates LLP

CFTC Expands Interest Rate Swap Clearing Requirements

K&L Gates LLP on

One of the major goals of the Dodd-Frank Act, enacted in the wake of the financial crisis of 2008, was to bring the swaps market under regulation generally and to require that standardized swaps be cleared by a central...more

Dechert LLP

CFTC Guidance on FCM and DCO Investments in Money Market Funds

Dechert LLP on

Divisions of the U.S. Commodity Futures Trading Commission (CFTC) on August 8, 2016 issued letters restricting futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) from investing in money market...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Financial Industry Developments - CFTC Announces Measures to Enhance Protection of Customer Funds - On August 8, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced three separate enhancements...more

Katten Muchin Rosenman LLP

CFTC Issues Guidance on “Firm or Forced Trades” Process

The Commodity Futures Trading Commission’s Division of Clearing and Risk and Division of Market Oversight have issued guidance to derivatives clearing organizations (DCOs) that use a “firm or forced trades” process to...more

Katten Muchin Rosenman LLP

CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and Requests Public Comment on a...

The Commodity Futures Trading Commission has issued an order of exemption from registration as a derivatives clearing organization (DCO) to ASX Clear (Futures) Pty Limited (ASX). This is the first order that the CFTC has...more

Orrick - Finance 20/20

CFTC Issues Its First Ever Order of Exemption from Registration as a Derivatives Clearing Organization

Orrick - Finance 20/20 on

On August 18, CFTC issued an order of exemption from registration as a derivative clearing organization (DCO) to ASX Clear (Futures) Pty Limited (ASX). The order is the first of its kind issued by CFTC based on its authority...more

Katten Muchin Rosenman LLP

CFTC Requests Comments on Petition for Exemption from DCO Registration by OTC Clearing Hong Kong Limited

The Commodity Futures Trading Commission is requesting public comment on a petition for exemption from registration as a derivatives clearing organization (DCO) filed by OTC Clearing Hong Kong Limited. Under Section...more

Katten Muchin Rosenman LLP

CFTC Requests Public Comment on a Petition from ASX Clear (Futures) Pty Limited for Exemption From Registration as a DCO

The Commodity Futures Trading Commission has requested public comment on a petition by ASX Clear (Futures) Pty Limited for exemption from registration as a derivatives clearing organization (DCO). ...more

Skadden, Arps, Slate, Meagher & Flom LLP

"CFTC Expands Large Trader Reporting and Increases Customer Account Protection Requirements"

The Commodity Futures Trading Commission (CFTC or Commission) recently adopted several rules to improve large trader reporting, facilitate segregation of customer swap margin and enhance customer protections for futures and...more

Morgan Lewis

SEC Permits Portfolio Margining of Credit Default Swaps

Morgan Lewis on

Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon. On December 14, the Securities and Exchange Commission (SEC) issued an order granting exemptive relief (Exemptive Order)...more

Perkins Coie

Financial Services Bulletin: Action at the CFTC

Perkins Coie on

In This Issue: - CFTC Proposes Inter-Affiliate Clearing Exemption - CFTC Proposes Exemption For Certain Non-Financial Energy Derivative Transactions - CFTC Approves Conforming Rule on Registration of...more

Katten Muchin Rosenman LLP

CFTC Proposes Inter-Affiliate Clearing Exemption

On August 16, the Commodity Futures Trading Commission issued a proposed rule to exempt swaps between certain affiliated entities from the clearing requirement set forth in the Dodd-Frank Wall Street Reform and Consumer...more

Jackson Walker

Dodd Frank Update: Impact on Gas & Power Transactions (Presentation)

Jackson Walker on

TABLE OF CONTENTS I. Who Does the Dodd-Frank Act Impact? ...1 A. Major Swap Participants...1 1. Category 1: Substantial Position in Swap Categories ...1 2. Category 2: Substantial Counterparty Exposure...more

Jackson Walker

Dodd-Frank Financial Reform: Potential Impacts to ISDA and Other Trading Contracts

Jackson Walker on

Discussion Topics •General Overview of the Dodd-Frank Act •Title VII of the Dodd Frank Act: Impact on OTC Derivatives and Energy Trading •Definitions and applicability •Mandatory clearing •Registration requirements ...more

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