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CFTC adopts exemptions for Commodity ETFs

Katten Muchin Rosenman LLP
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USA
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May 20 2011

The Commodity Futures Trading Commission has adopted amendments to CFTC Rules 4.12 and 4.13 to provide relief from certain disclosure, reporting and recordkeeping requirements for commodity pool operators (CPOs), as well as relief from registration requirements for certain independent directors and trustees, of pools with units of participation that are publicly offered and traded on a national securities exchange (Commodity ETFs

CFTC announces new certification procedure for foreign security index products

Katten Muchin Rosenman LLP
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USA
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September 30 2011

The Commodity Futures Trading Commission has adopted a final rule that creates a new certification procedure for foreign boards of trade (FBOTs) seeking to offer “broad-based” security index futures or options contracts (Index Products) to persons in the U.S

CFTC requests comment on Eurex Clearing AG's application for registration as a DCO

Katten Muchin Rosenman LLP
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USA
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September 30 2011

The CFTC is requesting public comment on an application by Eurex Clearing AG for registration as a derivatives clearing organization

CME, CBOT and NYMEX revise customer confirmation rule

Katten Muchin Rosenman LLP
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USA
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July 15 2011

The CME Group has announced amendments to CME, CBOT and NYMEX Rule 957, which specifies the information that must be included in a clearing member's confirmations to its customers, to require that confirmation statements "show facts relevant to the economic terms of the transaction."

CFTC proposes order providing exemptive relief from certain Dodd-Frank provisions

Katten Muchin Rosenman LLP
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USA
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June 17 2011

The Commodity Futures Trading Commission has proposed to issue an order (the Proposed Order) providing temporary relief from certain swap-related provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act that would otherwise take effect on July 16, 2011

CFTC order authorizing NFA to perform SD and MSP registration

Katten Muchin Rosenman LLP
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USA
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January 13 2012

The Commodity Futures Trading Commission issued an order authorizing the National Futures Association to process and grant applications for registration and withdrawals of registration with respect to SDs and MSPs, to issue notices of provisional registration, to confirm initial compliance with requirements applicable to SDs and MSPs under Section 4s of the CEA, to conduct proceedings to deny, condition, suspend, restrict, or revoke the registration of any SD or MSP, to maintain records regarding SDs and MSPs, and to serve as the official custodian of those records

Final rules regarding registration of swap dealers and major swap participants

Katten Muchin Rosenman LLP
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USA
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January 13 2012

The Commodity Futures Trading Commission adopted final rules establishing a registration process for SDs and MSPs

Final rules on protection of cleared swaps customer contracts and collateral and amendments to the commodity broker bankruptcy provisions

Katten Muchin Rosenman LLP
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USA
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January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing section 724 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which prescribes the manner in which cleared swaps and related collateral must be treated prior to and after bankruptcy

CFTC appoints Gary Barnett as swaps division director

Katten Muchin Rosenman LLP
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USA
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August 26 2011

Gary Barnett has been appointed to serve as the Director of the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight, a newly created division that is part of the CFTC’s restructuring to fulfill its expanded responsibilities under the Dodd-Frank Wall Street Reform and Consumer Protection Act

Proposed rules to implement Volcker rule

Katten Muchin Rosenman LLP
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USA
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January 13 2012

At a public meeting on January 11, the Commodity Futures Trading Commission, by a 3-2 vote (Commissioners O’Malia and Sommers, dissenting), voted to propose regulations to implement the provisions of Section 619 of the Dodd-Frank Act, commonly known as the “Volcker Rule.”