Cftc regulations pdf files

The code of federal regulations is sold by the superintendent of documents. Summary of equivalence determinations for noncleared margin. After the financial crisis of 200708 and since 2010 with the doddfrank wall street reform and consumer. Proposed amendments to the commissions regulations relating to. The quantities of each contract, which have been fixed for reporting, are listed in cftc regulation 15. Alert memorandum cftc amends chief compliance officer duties. Cftc chairman proposes crossborder swaps regulation version 2. Cftc issues new guidance relating to virtual currency. Cftc proposes rules governing automated trading continued 5 compliance. Cftc adopts final rules addressing swap trade execution. The assessment of the effectiveness of a registrants policies and procedures should be separate from the.

The sec, finra and cftc communicated with several firms regarding the impact of hurricane sandy on trading, customer relations, financial and regulatory obligations, and technology, among other topics. You may need a pdf reader to view some of the files on this page. The amendments replace and supersede advisory 14153 with a new appendix to cftc rule 3. Commodity futures trading commission 17 cfr part 75 rin 3038ae72. Cftc finalizes aggregation rules and reproposes position limits rule on december 5, the commodity futures trading commission cftc issued final regulations regarding the aggregation of positions and accounts to assess compliance with speculative position limits as well as to add a potential exemption to such requirements for. These charts provide summary information and are intended as an information resource only. The commodity futures trading commission cftc, once easily lost in the long list of regulatory agencies, has achieved new prominence under the doddfrank wall street reform and consumer protection act doddfrank. Cftc regulations requires reporting firms to disclose position information to the exchange and to the cftc on behalf of those accounts carried.

The doddfrank act amended the commodity exchange act cea to establish comprehensive regulation of swaps by the commission. Significant changes to cftc regulations impacting registered. You may upload up to 7 separate files with each form submission. On march 17, 2016, cftc and epa announced a memorandum of understanding that allows the agencies to share rfs data and analysis. A riskbased approach with deference to comparable nonu. These files will be rejected since they cannot be automatically checked for malware and viruses. A special account is any account which has a reportable position as defined in part 15. Neeww tccfftcc inneett appoossit tiioonn cchhannggee. Noaction positions for swap execution facilities to extend submission. Cftc amends regulations applicable to asset managers. Commodity futures trading commission three lafayette centre 1155 21st street, nw, washington, dc 20581 telephone. Commodity futures trading commission office of public affairs 2024185080 marketing and sales materials under commission regulations 23.

Cftc proposes rules to streamline certain cpo and cta regulations. Sec and cftc regulatory priorities to watch in 2020. Neeww tccfftcc inneett appoossit tiioonn cchhannggee rreeppoorrt july 27, 2011 page 1 of 8 as part of its core mission to promote market transparency, the commodity futures trading commission cftc or commission released two. Cftc staff, the commission withdrew the proposed exemption.

Cftc proposes rules to streamline certain cpo and cta. Leaders of cftc, fincen, and sec issue joint statement on. Federal regulations, which is published under 50 titles pursuant to 44 u. Neeww tccfftcc inneett appoossit tiioonn cchhannggee rreeppoorrt. Joint report on international swap regulation required by section 719c of the doddfrank wall street. Cftc, sec issue guidance on the applicability of certain.

Cftc reproposes position limit regulations continued 4 bona fide hedging exemption the reproposal would amend the cftcs part 150 rules to include a definition of bona fide hedging position for purposes of exempting such positions from the speculative limits. Regulating through the back door at the commodity futures. Cftcepa memorandum of understanding pdf 8 pp, 90 k, march 2016. Oct 19, 2018 cftc crossborder recommendations chairman outlines cftc regulations recommendations in white paper chairman giancarlo, calling for a reset in crossborder regulatory relations, provides recommendations for how regulators can alter their crossborder approach in order to support a global, liquid, transparent swaps market. The cftc administers the commodity exchange act to ensure the fair, open and efficient functioning of the u. In may 2017, the cftc published a notice of proposed rulemaking to amend the cco rule, 5. Likewise, in light of comments received, the commission determined that the. Cftc issues new guidance relating to virtual currency regulations january 31, 2018 delivery and intends to employ a functional approach and examine how the agreement, contract, or transaction is marketed, managed, and performed, instead of relying solely on language used by the. Cftc staff clarifies guidance regarding cco annual reports. The whistleblower office of the commodity futures trading commission cftc is issuing this alert to inform members of the public about how they may make themselves eligible for both financial awards and certain protections while helping stop those who violate the cea by failing to comply with the bank secrecy act bsa or related regulations. Commodity futures trading commission, the financial crimes enforcement network, and the u. Federal deposit insurance corporation 12 cfr part 351 rin 3064ae67. The cftc demonstrated its active pursuit of insider trading with its first insider trading case in october of 2015.

An acknowledgment letter is an executed written agreement between 1 a futures commission merchant fcm or derivatives clearing organization dco and 2 a depository or money market mutual fund mmmf whereby the depository or mmmf acknowledges that certain funds placed with it are customer funds that must be held in accordance with the commodity exchange act and commission regulations. An at person would generally have to adopt written policies and procedures reasonably designed to ensure that its algorithmic trading system operates in compliance with the cea and the rules promulgated thereunder. The ft s proposal sets ground rules on when its regulations should apply to swaps booked abroad, such as through a foreignbased subsidiary of a u. Commodity futures trading commission the cftc in may 2017, recently issued its primer on virtual currencies the primer. Access to the investigative files of the cftc by other government agencies. The cftc division of enforcement enforcement manual. Cftc regulations requires reporting firms to disclose position information to the exchange and to the cftc on behalf of those accounts carried on their books that meet the reportable level. Christopher giancarlo of the commodity futures trading commission the cftc released a white paper entitled crossborder swaps regulation version 2. It is not necessary to password protect or encrypt uploaded files. Cftcepa memorandum of understanding renewable fuel. Unless otherwise noted, the rules and regulations referenced in this notice are found in chapter 1 of title 17 of the code of federal regulations. The stated mission of the cftc is to promote the integrity, resilience, and vibrancy of the u. Occ provides cftc large trader reporting services to futures exchanges requesting this service. Rule 17a4 records to be preserved by certain exchange members.

Procedure to claim noaction relief like relief from cpo registration, relief from cta registration is not selfexecuting. Cftc regulations that correspond to entitylevel requirements as cftc regulations 1. Significant changes to cftc regulations impacting private. The commodity futures trading commission cftc is an independent agency of the us government created in 1974, that regulates the u. Cftc adopts final harmonization rules for commodity pool. The cftc demonstrated its active pursuit of insider trading. Nov 19, 2018 for the relief provided by cftc regulation 3. These uses include cftc15, large trader report files integrated surveillance system. Commodity futures trading commission cftc or commission registrants and derivatives market participants should take note of a recent announcement by cftc chairman heath tarbert that, effective january 1, 2020, the cftc will publish all requests for staff noaction, interpretive, and exemptive relief on our website when such relief is granted. The cea establishes the statutory framework under which the cftc operates and has authority to establish regulations that are published in title 17 of the code of federal regulations. Although sdr reporting and ltr are classified as entitylevel, the exemptive order does not modify the compliance date for such requirements. The proposal also refrains from imposing cftc regulations in. Leaders of cftc, fincen, and sec issue joint statement on activities involving digital assets october 11, 2019 washington, dc the leaders of the u. Department of treasury office of the comptroller of the currency 12 cfr part 44 docket no.

Cftc proposes rules governing automated trading continued 2 order, or make certain other determinations with respect to an order, and ii such order, modification or order cancellation is electronically submitted for processing on or subject to the rules of a dcm. Cftc in february 2012,1 the final regulations adopt a substituted compliance framework that permits a registered cpo of a ric to comply with the disclosure, reporting, and recordkeeping requirements applicable to the ric under the securities act of 1933, the 1940 act, and regulations. Cftc and sec staffs have considered international standards and principles in developing regulations, have consulted and coordinated with foreign regulators, and will continue to recommend that the commissions enter into memoranda of understanding, as. First, the proposed rules would amend cftc regulation 4.