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16 results found

Article

Bracewell LLP | USA | 27 Nov 2017

CFTC Annual Enforcement Update

On November 22, 2017, the Commodity Futures Trading Commission (“CFTC”) released its annual enforcement report for fiscal year 2017. As in previous

Article

Bracewell LLP | USA | 1 Apr 2016

U.S. Futures Exchanges Liberalize Exceptions to Position Limit Aggregation Rules

Effective March 18, 2016 and April 4, 2016 respectively, the major U.S. futures exchanges, ICE Futures U.S., Inc. ("ICE") and the CME Group

Article

Bracewell LLP | USA | 1 Apr 2014

CFTC seeks input on Dodd-Frank implementation issues affecting energy end-users

With most of its rules implementing the swap regulatory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") in

Article

Bracewell LLP | USA | 22 Oct 2012

CFTC provides a bit of last-minute breathing room on swaps regulation

On Friday October 12, the Commodity Futures Trading Commission’s (CFTC) regulations defining the term “swap” took effect, triggering a cascade of new regulatory requirements pursuant to the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) for entities holding swap positions.

Article

Bracewell LLP | USA | 5 Oct 2012

Beginning October 12th all book-outs must be confirmed to avoid CFTC regulation

The Commodity Futures Trading Commission (CFTC) rule defining the term "Swap" (Products Rule) becomes effective October 12, 2012.

Article

Bracewell LLP | USA | 10 May 2011

CFTC proposes a swap product definition and capital requirements under Dodd-Frank

At a public meeting on April 27, the Commodity Futures Trading Commission (CFTC or the Commission) proposed two new rulemakings pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) to address: (i) the further definition of certain products regulated by the Commission and the Securities and Exchange Commission (SEC) under Dodd-Frank, including "swap"; and (ii) capital requirements for non-bank swap dealers and major swap participants (SDMSPs).

Article

Bracewell LLP | USA | 25 Apr 2011

CFTC & Fed propose margin rules under Dodd-Frank: banks to be barred from accepting non cash collateral

On April 13, both the Commodity Futures Trading Commission ("CFTC") and Federal Banking Regulators including the Federal Reserve1 proposed rules pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") to establish collateral and margin requirements for Swap Dealers and Major Swap Participants ("SDMSPs") and swap counterparties.

Article

Bracewell LLP | USA | 24 Jan 2011

CFTC approves position limits proposal for derivatives

On January 13, 2011, the Commodity Futures Trading Commission ("CFTC") approved a Notice of Proposed Rulemaking ("NOPR") regarding the imposition of federally-mandated position limits for derivatives, including swaps, under the CFTC's new authority over derivatives markets pursuant to the Dodd Frank Act.

Article

Bracewell LLP | USA | 10 Dec 2010

CFTC proposes definitions for "swap dealer" and "major swap participant"

On December 1, the Commodity Futures Trading Commission (CFTC) voted out a proposed rulemaking to set final definitions for the key Dodd-Frank terms "Swap Dealer" and "Major Swap Participant," among others.

Article

Bracewell LLP | USA | 8 Nov 2010

CFTC proposes anti-manipulation rules to implement Dodd-Frank

On October 26, the Commodity Futures Trading Commission (CFTC) proposed rules on market manipulation and false reporting implementing new statutory authority under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).

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