CFTC approves final rule requiring recording of oral communications *

USA - December 20 2012
On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35.

Co-authors: Lisa A. Dunsky, Kenneth M. Rosenzweig, Arthur W. Hahn, Kevin Foley.

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CFTC seeks comments on ICE Clear Europe petition *

European Union, USA - September 14 2012
On September 11, the CFTC requested public comment on a petition submitted by ICE Clear Europe Limited.

Co-authors: Kevin Foley.

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CFTC staff issues guidance on timing of swap dealer registration rules *

USA - September 14 2012
On September 10, Commodity Futures Trading Commission staff issued a set of responses to frequently asked questions (FAQs) related to the timing of the swap dealer registration requirements.

Co-authors: Kevin Foley.

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NFA registration requirements for swap FCMs, IBs, CPOs and CTAs *

USA - September 7 2012
On August 22, the National Futures Association (NFA) proposed amendments to its bylaws and registration rules that will require any NFA member that is registered with the Commodity Futures Trading Commission as a futures commission merchant (FCM), introducing broker (IB), commodity pool operator (CPO) or commodity trading advisor (CTA) and that engages in swap activities that are subject to the jurisdiction of the CFTC to be approved as a “swaps firm” by NFA.

Co-authors: Kevin Foley.

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NFA establishes pre-filing option for current 4.13(a)(4) pools *

USA - September 7 2012
On September 6, the National Futures Association (NFA) notified its members that it will modify its electronic exemption system to establish a pre-filing option for pools that wish to claim relief under Commodity Futures Trading Commission Regulations 4.7 or 4.12 or CFTC Advisory 18-96 after the Regulation 4.13(a)(4) exemption is revoked.

Co-authors: Kevin Foley.

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