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The financial report May 1, 2014 - US Securities and Exchange Commission developments
  • DLA Piper LLP
  • USA
  • May 1 2014

The SEC published for comment new rules for security-based Swap Dealers and major security-based swap market participants. The proposed rules address

CFTC staff issues commodity option frequently asked questions (“FAQs”)
  • Morrison & Foerster LLP
  • USA
  • October 2 2013

On September 30, 2013, the CFTC's Division of Market Oversight ("DMO") issued a Commodity Option FAQ document. A copy of the FAQs is available here

CFTC Enforcement Division drops "absent objection" investigatory orders
  • Reed Smith LLP
  • USA
  • October 3 2013

In a reversal of course, the Division of Enforcement of the Commodities Futures Trading Commission ("CFTC"), has confirmed that it will no longer

CFTC staff issues no-action letters relating to swap execution facilities
  • Katten Muchin Rosenman LLP
  • USA
  • October 4 2013

Commodity Futures Trading Commission staff released several no-action letters impacting swap execution facilities (SEFs) and their participants

CFTC closes investigation of silver markets
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 25th, the CFTC's Enforcement Division announced it has closed its investigation into the possible manipulation of the silver market

US regulator proposes interpretive guidance on the extraterritorial application of US swaps regulations
  • Baker & McKenzie
  • USA
  • February 4 2013

On December 21, 2012, the Commodity Futures Trading Commission ("CFTC"), the main US regulator of the swaps market, released a proposal for

NFA Compliance Rule 2-45.
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 26th, the National Futures Association issued a Notice to Members regarding NFA Compliance Rule 2-45 and its related Interpretive Notice

Financial Regulatory Developments 25 April - Commodities and Futures Trading Commission (CFTC)
  • Dentons
  • European Union, USA
  • April 25 2014

CFTC has provided new conditional no-action relief for swaps trading on EU multilateral trading facilities (MTFs). This new relief from registration

The financial report April 17, 2014 - US Commodity Futures Trading Commission developments
  • DLA Piper LLP
  • USA
  • April 17 2014

Following an order from the CFTC, collapsed brokerage firm MF Global has begun to reimburse the US$1.2 billion of customer funds lost when the

Treasury Department issues final determination on FX swaps and forwards
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 16th, the Treasury Department issued a final determination providing that certain mandatory derivatives requirements, including central clearing and exchange trading, will not apply to foreign exchange swaps and forwards