11,457 results found

The CFTC Division of Clearing and Risk granted an extension of no-action relief to the Shanghai Clearing House ("SHCH") (see previous coverage of the original relief) from registration...

The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from registration requirements,

The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver quarterly account statements to pool participants within 30 days of each quarter.

The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief to four Commodity Pool Operators ("CPOs") from their registration requirement, provided that each...

The CFTC granted a request by Chicago Mercantile Exchange Clearing Europe Limited ("CMECE") for registration as a derivatives clearing organization ("DCO") under the CEA.

The CFTC granted its largest-ever whistleblower award to an individual who reported information that resulted in a successful enforcement action.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief from registration as a CPO or CTA to the investment manager of a fund.

On May 27, 2016, the CFTC granted full registered status to three swap execution facilities ("SEFs") including: (i) GTX SEF, LLC of Bedminster, N.J., (ii) TeraExchange, LLC of Summit...

CFTC Chair J. Christopher Giancarlo announced that CFTC Commissioner Dawn Stump will sponsor the Global Markets Advisory Committee and Commissioner Dan Berkovitz ...

CFTC Commissioner Dawn D. Stump named Wendy Yun as Chair of a newly-launched Subcommittee of the Global Markets Advisory Committee ("GMAC").

CFTC Acting Chair J. Christopher Giancarlo appointed N. Charles "Charlie" Thornton III to be Director of the Office of Legislative Affairs.

Daniel J. Davis was named CFTC General Counsel. Mr. Davis recently served as Special Counsel in the Labor and Employment Law Department of Proskauer Rose LLP.

The CFTC notified self-regulatory organizations of the fees that it will charge for reviewing their rule enforcement programs in 2018.

The CFTC issued an Order granting permission for LCH.Clearnet Limited to commingle positions in futures, foreign futures, and cleared swaps in a cleared swaps customer account...

The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.

The CFTC is requesting nominations for membership on the Market Risk Advisory Committee ("MRAC"), which makes recommendations to the CFTC regarding systemic issues ...

Nominations are due by October 29, 2020.