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CFTC interim compliant identifier website is launched by DTCC and SWIFT
  • Katten Muchin Rosenman LLP
  • USA
  • August 24 2012

On August 21, the Commodity Futures Trading Commission, Depository Trust & Clearing Corporation and SWIFT announced the launch of a website that allows market participants to register for CFTC Interim Compliant Identifiers (CICIs


FIA presents NFA registration webinar
  • Katten Muchin Rosenman LLP
  • USA
  • August 24 2012

On August 21, the Law and Compliance Division of the Futures Industry Association announced that it will host a webinar to help swap dealers and major swap participants understand the Commodity Futures Trading Commission registration process


CFTC approves conforming rules on registration of intermediaries
  • Katten Muchin Rosenman LLP
  • USA
  • August 24 2012

On August 17, the Commodity Futures Trading Commission approved rule amendments to conform its existing intermediary registration rules to changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act


CFTC proposes revised adjusted net capital requirements for FCMs and IBs
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2009

The Commodity Futures Trading Commission has proposed amendments to the minimum adjusted net capital requirements for futures commission merchants (FCMs) and introducing brokers (IBs


NFA extends effective date for portions of NFA Compliance Rule 2-43(b)
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2009

The National Futures Association (NFA) has extended the effective date for portions of its new Compliance Rule 2-43(b), which prohibits forex dealer members (FDMs) from allowing customers to carry offsetting positions and generally requires an FDM to offset positions in a customer account on a first-in, first-out (FIFO) basis


Amendments to effective date for swap regulation
  • Katten Muchin Rosenman LLP
  • USA
  • October 21 2011

The Commodity Futures Trading Commission (the CFTC) has proposed to extend its earlier exemptive order that provides temporary relief from certain swap-related provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) that would otherwise have taken effect on July 16 (the Order


NFA notice to members regarding calculation of retail forex customer accounts
  • Katten Muchin Rosenman LLP
  • USA
  • January 28 2011

The National Futures Association (NFA) has issued a Notice to Members providing guidance regarding the calculation of retail forex customer accounts maintained by retail foreign exchange dealers (RFEDs) and futures commission merchants (FCMs


CFTC issues temporary no-action relief for trade options
  • Katten Muchin Rosenman LLP
  • USA
  • August 17 2012

On August 14, the Commodity Future Trading Commission’s Division of Market Oversight (DMO) granted market participants temporary no-action relief from certain regulatory requirements for trade options, as defined in CFTC Regulation 32.3(a


CFTC issues guidance on compliance obligations for CPOs and CTAs
  • Katten Muchin Rosenman LLP
  • USA
  • August 17 2012

On August 14, the Commodity Futures Trading Commission issued a set of responses to frequently asked questions (FAQs) related to the compliance obligations of commodity pool operators (CPOs) and commodity trading advisors


NFA proposes amendment requiring view-only access to customer accounts
  • Katten Muchin Rosenman LLP
  • USA
  • August 24 2012

On August 21, the National Futures Association proposed a rule requiring every member futures commission merchant (FCM) to provide its designated self-regulatory organization (DSRO) with view-only Internet access to account information for each of the FCM’s customer segregated funds and secured amount accounts