requirements for Paired Swaps and Paired Swaptions apply to market participants in addition to, and not in lieu of, the reporting requirements under Parts 43 (real time reporting) and 45 (regulatory reporting). As an example, if a swap dealer ("A") entered into a spark spread call option...
The Commodity Futures Trading Commission (CFTC) has unanimously approved amendments to the real-time swap reporting rules in Part 43 of the CFTC’s regulations by, among other things, clarifying the applicability of the rules to swaps executed in a prime brokerage agency arrangement. The CFTC pr...
the CFTC established an 80-character submission standard in the 1980s. The CFTC adopted the LTR Rule because these requirements became outdated, error-prone, and inconsistent
On February 25, 2025, the Division of Enforcement (Enforcement Division) of the U.S. Commodity Futures Trading Commission (CFTC) released an Enforcement Advisory on Self-Reporting, Cooperation, and Remediation (Advisory). The Advisory is the Enforcement Division’s “sole ...
CFTC Staff Issues Interpretation Regarding Financial Reporting Requirements for Japanese Nonbank Swap Dealers Read More > March 19, 2025 Generative AI is Making it Easier for Fraudsters to Fool the Public Read More > March 13, 2025 CFTC Staff Withdraws Advisory on Swap Execution Facility Registration...
1. DCM general requirements A DCM is a CFTC-regulated exchange that must comply with statutory “Core Principles” set forth in the CEA to maintain its designation.4These Core Principles include, among other requirements, that a DCM impose certain position lim...
Managed Funds & Financial Requirements Branch Registration & Compliance Branch According to the CFTC, the MPD's main responsibilities include:11 Examining intermediaries and designated self-regulatory organizations Maintaining appropriate standards for the registration of intermediaries ...
“So we have here two of the main requirements for high-frequency trading, volume and volatility. Therefore, it will be reasonable to expect Monday to be a busy day for speed traders, as they provide the liquidity long-term investors will need to survive the day.” Mr. Perez indicated ...
Each of the entities, agencies, or persons described in clause (i) shall maintain information described in that clause as confidential, in accordance with the requirements in subparagraph (A). (iii) Study on impact of FOIA exemption on Commodity Futures Trading Commission ...
Regulatory gap analysis.Drawing on this research, the CFTC should review the adequacy of its rules to monitor and manage climate-related risks. The Report identifies several areas in which the CFTC should review its rules: capital and margin requirements for FCMs and swap ...