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Results 1 to 5 of 14



CFTC approves NFA segregated funds reporting requirements

USA - July 20 2012 On July 13, the Commodity Futures Trading Commission approved National Futures Association (NFA) rules and a related interpretive notice that create new requirements for futures commission merchants (FCMs) with respect to customer segregated funds and secured amount accounts.

Co-authors: Ross Pazzol, Blake J. Brockway.


CFTC issues temporary no-action relief for non-clearing swap dealers

USA - July 20 2012 On July 17, the CFTC’s Division of Market Oversight granted non-clearing member swap dealers temporary no-action relief from the larger swap trader reporting requirements for physical commodities indentified in CFTC Regulation 20.4.

Co-authors: Ross Pazzol, Blake J. Brockway.


NFA announces review of FCM audit practices

USA - July 20 2012 On July 16, National Futures Association (NFA) announced that it will conduct a review of its audit practices and procedures and the execution of those procedures with respect to Peregrine Financial Group, Inc. (PFG).

Co-authors: Ross Pazzol, Blake J. Brockway.


NFA reminds members of changes to CPO exemption rules

USA - June 29 2012 On June 25, the National Futures Association (NFA) issued guidance regarding the Commodity Futures Trading Commission’s final rules rescinding the exemption from Commodity Pool Operator (CPO) registration granted under CFTC Rule 4.13(a)(4).

Co-authors: Blake J. Brockway, Kevin M.Foley.


CFTC proposes block trades rules for swap contracts

USA - June 29 2012 On June 27, the Commodity Futures Trading Commission issued a notice of proposed rulemaking concerning block trades in swap contracts.

Co-authors: Blake J. Brockway, Kevin M.Foley.

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