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Commodity Futures Trading Commission proposes position limits for commodity derivatives

USA - February 14 2011 The Commodity Futures Trading Commission (the "Commission" or "CFTC") is proposing to establish a framework for implementing position limits for certain physical commodity derivatives, including exchange-traded futures and options on futures contracts and swaps that are economically equivalent to such contracts, in accordance with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act")....

David S. Mitchell, Russell L. Kamerman.

CFTC proposes elimination of commodity pool operator registration exemptions and new reporting and compliance obligations

USA - February 8 2011 As part of implementing new statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Commodity Futures Trading Commission (the "CFTC") is proposing rules that would (i) rescind exemptions from commodity pool operator ("CPO") registration under CFTC Rules 4.13(a)(3) and 4.13(a)(4)....

David W. Selden, David S. Mitchell, Russell L. Kamerman.

SEC proposes Investment Advisers Act rules to implement Dodd-Frank Act

USA - November 30 2010 The Securities and Exchange Commission ("SEC") has proposed new rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act")....

Jessica Forbes, Gregory P. Gnall.

CFTC proposes rules relating to swaps clearing, disruptive trading practices, market manipulation and the investment of customer funds

USA - November 11 2010 The Commodity Futures Trading Commission (the "CFTC") is proposing rules to implement new statutory provisions enacted by the Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), as well as soliciting comments in connection with the implementation of other provisions of the Dodd-Frank Act....

David S. Mitchell.

Commodity Futures Trading Commission publishes petition of National Futures Association to amend Rule 4.5

USA - September 23 2010 The Commodity Futures Trading Commission (“CFTC”) is seeking public comment on a petition submitted by the National Futures Association (“NFA”), a leading futures industry self-regulatory organization, to amend CFTC Rule 4.5, which provides an exclusion from the term “commodity pool operator” (“CPO”) for specified persons operating certain otherwise regulated collective investment vehicles referred to therein as “qualifying entities” such as registered investment companies that engage in trading futures contracts or options on futures contracts....

David S. Mitchell.