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  • Article

    CFTC Announces To Issue Award Of Approximately $290,000 To Whistleblowers

    The award is provided if reporting leads to an enforcement action that results in more than $1 million in monetary sanctions.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Approves Final Regulation Regarding Requirement To Be A Member Of A Registered Futures Association

    On September 10, the U.S. Commodity Futures Trading Commission Division issued a final rule requiring that all registered introducing brokers and commodity pool operators...
    United StatesFinance and Banking
    Orrick
    Orrick
Article

CFTC Approves Final Rule Amending The Timing For Filing Chief Compliance Officer Annual Reports By Certain Registrants

On November 10, 2016, the U.S. Commodity Futures Trading Commission issued a final rule modifying and clarifying previous guidance regarding compliance reports for futures commission merchants...
United StatesFinance and Banking
Orrick
Orrick
  • Article

    CFTC Approves Final Rule To Amend Swap Data Recordkeeping And Reporting Requirements For Cleared Swaps

    The U.S. Commodity Futures Trading Commission (CFTC) issued a final rule that clarified reporting obligations for completed swap transactions...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Approves Final Rule To Amend The Trade Option Exemption By Eliminating Certain Reporting And Recordkeeping Requirements For End-Users

    On March 16, the U.S. Commodity Futures Trading Commission approved a final rule that eliminated certain requirements "for trade option counterparties that are neither swap dealers nor major swap participants[.]"
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Awards Whistleblowers Approximately $2 Million

    The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Chair Heath Tarbert Names New Directors To Leadership Team

    CFTC Chair Heath P. Tarbert named Summer K. Mersinger as Director of the Office of Legislative and Intergovernmental Affairs and Suyash G. Paliwal as Director of the Office of International Affairs.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Commissioner Stump Names New Chief Of Staff

    CFTC Office of Legislative and Intergovernmental Affairs ("OLIA") Director Summer Mersinger will become Commissioner Dawn Stump's new Chief of Staff.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Division Grants No-Action Relief From CPO Registration Requirements

    The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief to the trustee of several commodity pools from registration as a commodity pool operator ("CPO")...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Extends Comment Period For Proposed Amendments To Regulations On CPO Annual Reports

    The CFTC extended the comment period for a proposal to amend certain regulations applicable to the annual reports that a commodity pool operator must distribute for each pool that it operates.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Extends Comment Period On Proposed Amendments To Regulation 4.22 Regarding CPO Annual Reports

    On August 30, 2016, the Commodity Futures Trading Commission extended the comment period for proposed amendments to a regulation regarding Annual Reports from commodity pool operators
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Names New Director Of The Division Of Swap Dealer And Intermediary Oversight

    CFTC Chair J. Christopher Giancarlo appointed Matthew B. Kulkin to be Director of the Division of Swap Dealer and Intermediary Oversight.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Publishes 2016 Schedule Of Fees For Oversight Of SROs

    The CFTC published the 2016 schedule of fees for overseeing the rule enforcement programs of regulated exchanges (designated contract markets or "DCMs") and the National Futures Association.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Requests Public Comment On A Rule Amendment Certification Filing By ICE Futures U.S.

    The U.S. Commodity Futures Trading Commission (CFTC) seeks comments from the public on a proposed amendment that "would clarify that parties to a block trade may engage in pre-hedging...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Returns To Normal Operations

    CFTC Chair J. Christopher Giancarlo reported that the agency has returned to normal operations.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Signs Memorandum Of Understanding With Two Mexican Authorities To Enhance Supervision Of Cross-Border Regulated Entities

    On September 6, 2016, the U.S. Commodity Futures Trading Commission announced that it "signed a Memorandum of Understanding (MOU) with the Comisión Nacional Bancaria y de Valores (CNBV) and the Banco de México (BDM).
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Solicits Nominees For Agricultural Advisory Committee

    The CFTC requested nominations for membership on the Agricultural Advisory Committee, and also invited the submission of topics for discussion at future meetings.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Staff Provides No-Action Relief From Registration To Certain Intermediaries Located Outside Of The U.S.

    On February 12, the U.S. Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight provided "no-action relief from registration...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Staff Provides Relief In Connection With Swap Trade Confirmations

    On March 14, the U.S. Commodity Futures Trading Commission's Division of Market Oversight published a time-limited no-action letter that changed the deadline...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC To Reopen Comment Period For Specific Elements Of Regulation Automated Trading

    On June 2, 2016, the U.S. Commodity Futures Trading Commission announced that the comment period for certain aspects of Regulation Automated Trading will be reopened between June 10, 2016 and June 24, 2016.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Showing 201–220 of 42721 results

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