News & Analysis as of September 20, 2024

Securities and Exchange Commission (SEC)

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Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption under... more +

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues

2020 Annual Compliance Obligation Reminders

Vedder Price on 2/11/2020

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) or with a state, as well as commodity pool operators and commodity trading advisors registered with the U.S. Commodity Futures Trading...more

CFTC Proposes to Streamline CPO and CTA Regulations by Codifying Prior Relief

Proskauer Rose LLP on 10/24/2018

On October 9, 2018, the Commodity Futures Trading Commission (CFTC) proposed new rules in connection with the CFTC's Project KISS Initiative directed at simplifying Commodity Pool Operator (CPO) and Commodity Trading Advisor...more

CFTC Proposes to Streamline Regulations for Commodity Pool Operators and Commodity Trading Advisors

Orrick - Finance 20/20 on 10/18/2018

On October 9, the Commodity Futures Trading Commission (“CFTC“) unanimously approved proposed rules as a part of its KISS initiative to simplify regulations for commodity pool operators (“CPOs“) and commodity trading advisors...more

Federal Court Ruling Recognizes CFTC Jurisdiction over Cryptocurrencies as Commodities

Dechert LLP on 3/26/2018

The U.S. Commodity Futures Trading Commission (CFTC) scored a victory in its effort to assert jurisdiction over portions of the cryptocurrency and initial coin offering (ICO) markets last week, as a federal district judge...more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on 1/24/2018

The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Financial Services Weekly News - December 2016

Goodwin on 12/7/2016

Editor's Note - OCC to Move Forward with Federal FinTech Charter. In a development foreshadowed in the April 6, June 29 and September 14 editions of the Roundup, on December 2, the Office of the Comptroller of the...more

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

Morgan Lewis on 9/16/2016

The National Futures Association’s (NFA’s) latest proposal would require registered commodity pool operators and commodity trading advisors to provide new information about their financial condition in quarterly reports to...more

Corporate and Financial Weekly Digest - Volume VIII, Issue 46

Katten Muchin Rosenman LLP on 12/10/2013

In this issue: - SEC Division of Corporation Finance Issues 14 New C&DIs Relating to “Bad Actor” Rules - NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence - FINRA...more

Orrick's Financial Industry Week In Review - November 12, 2013

Orrick, Herrington & Sutcliffe LLP on 11/12/2013

CFTC Proposed Rule on Commodity Pools - On November 5, the CFTC issued a proposed rule that would require that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors...more

Corporate and Financial Weekly Digest - November 8, 2013

Katten Muchin Rosenman LLP on 11/11/2013

In this issue: - CFTC Adopts Rules for Segregation of Initial Margin for Uncleared Swaps - CFTC Extends Time-Limited Relief for Foreign Exchange Swaps - CFTC Approves Position Limits Proposals -...more

Disclosure Requirements and Advertising Rules for CPOs

Morrison & Foerster LLP on 9/23/2013

On August 13, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments to accept compliance with the disclosure, reporting and recordkeeping rules of the Securities and Exchange Commission...more

CFTC Harmonizes Rules Applicable to CPOs of Registered Investment Companies and Modifies Requirements for All CPOs

Goodwin on 8/27/2013

The CFTC adopted rule amendments (the “Harmonization Rule”) designed to harmonize certain CFTC compliance obligations that apply to commodity pool operators (“CPOs”) of investment companies registered under the Investment...more

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation...

Katten Muchin Rosenman LLP on 8/21/2013

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules (“Final Rules”) applicable to registered investment companies now required to dually register as commodity pool operators (“Dually-Registered...more

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Commodity Pool Operator › Commodity Trading Advisors (CTAs) › Securities and Exchange Commission (SEC)

2020 Annual Compliance Obligation Reminders

CFTC Proposes to Streamline CPO and CTA Regulations by Codifying Prior Relief

CFTC Proposes to Streamline Regulations for Commodity Pool Operators and Commodity Trading Advisors

Federal Court Ruling Recognizes CFTC Jurisdiction over Cryptocurrencies as Commodities

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Financial Services Weekly News - December 2016

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

Corporate and Financial Weekly Digest - Volume VIII, Issue 46

Orrick's Financial Industry Week In Review - November 12, 2013

Corporate and Financial Weekly Digest - November 8, 2013

Disclosure Requirements and Advertising Rules for CPOs

CFTC Harmonizes Rules Applicable to CPOs of Registered Investment Companies and Modifies Requirements for All CPOs

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation...

CFTC Amends Certain Record Retention and Document Distribution Requirements for All CPOs and CTAs

Legal Alert: CFTC Issues Highly Anticipated Harmonization Rules

The SEC and CFTC Adopt Identity Theft Red Flag Rules

Commodity Pool Operator › Commodity Trading Advisors (CTAs) › Securities and Exchange Commission (SEC)

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