The Commodity Futures Trading Commission will hold an open meeting on February 20 at 9:30 a.m. (ET) to consider the following topics:
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CFTC
NFA Provides Information to Assist Members in Meeting Their Regulatory Obligations
By Christian B. Hennion & Jack A. West on
Posted in CFTC, Derivatives
On February 10, the National Futures Association (NFA) issued a series of Notices to Members containing an overview of the educational resources available to Members in different registration categories to assist them in meeting their regulatory obligations, identifying common deficiencies noted during NFA examinations and providing links to other Notices regarding recent amendments to NFA Rules and Interpretive Notices applicable to certain Members.…
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CFTC’s Technology Advisory Committee to Meet on February 26
By Kevin M. Foley & Laura N. Krcmaric on
Posted in CFTC, Digital Assets and Virtual Currencies
The Commodity Futures Trading Commission (CFTC) announced that its Technology Advisory Committee (TAC) will host a public meeting at 10:00 a.m. on February 26, at the CFTC’s Washington, DC headquarters. …
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NFA Announces Effective Date for Various Rule Amendments
By Kevin M. Foley & Laura N. Krcmaric on
Posted in CFTC
National Futures Association (NFA) recently amended several of its rules and Interpretive Notices related to discretionary customer accounts, customer information, risk disclosures and bunched orders. These amendments will become effective on March 1.
More information concerning the NFA amendments can be found in the December 6, 2019 edition of Corporate & Financial Weekly Digest.
CFTC Proposes Revised Rules Establishing Position Limits on Derivatives Contracts That Provide for Physical Delivery
By Kevin M. Foley & Timothy D. Kertland on
Posted in CFTC, Derivatives
On January 30, the Commodity Futures Trading Commission (CFTC) voted to publish for comment revised rules establishing position limits on derivatives contracts that provide for physical delivery. The vote was 3-2, with Commissioners Behnam and Berkovitz dissenting.…
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CFTC Adopts NIST Framework for Data Privacy Protection
By Kevin M. Foley & Timothy D. Kertland on
Posted in CFTC
On January 28, the Commodity Futures Trading Commission (CFTC) announced that it will adopt the National Institute of Standards and Technology (NIST) Privacy Framework for data privacy protection. The NIST Privacy Framework is a voluntary tool developed in collaboration with stakeholders (e.g., service providers, customers, partners) intended to help organizations identify and manage privacy risk…
Registration Opens for Agricultural Commodity Futures Conference 2020
By Kevin M. Foley & Timothy D. Kertland on
Posted in CFTC
On January 28, the Commodity Futures Trading Commission and the Center for Risk Management Education and Research at Kansas State University announced that registration is open for the third annual Agricultural Commodity Futures Conference (AgCon2020).
A full AgCon2020 agenda will be available in March.
Registration information is available here.
NFA’s Swaps Proficiency Requirements Effective and Available Online
By Kevin M. Foley & Timothy D. Kertland on
Posted in CFTC, Derivatives
On January 27, the National Futures Association (NFA) issued a notice to members as a reminder that the effective date for NFA’s Swaps Proficiency Requirements (Requirements) is January 31, and that the Requirements must be completed by applicable individuals by the January 31, 2021 compliance date. The Requirements are now available online here.…
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CFTC to Hold an Open Commission Meeting on January 30
By Kevin M. Foley & Jack A. West on
Posted in CFTC, Derivatives
The Commodity Futures Trading Commission (CFTC) will hold an open meeting on January 30, from 9:00 a.m. to 12:30 p.m. ET, to discuss a proposed rule regarding position limits for derivatives. The meeting will resume at 1:30 p.m. to consider another proposed rule on amendments to codify current no-action relief regarding swap execution facility (SEF) and real-time reporting requirements.…
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CFTC Announces Members of New ”Margin Subcommittee”
By Kevin M. Foley & Adam P. Haft on
Posted in CFTC
On January 10, Commodity Futures Trading Commission Commissioner Dawn D. Stump, the sponsor of the CFTC’s Global Markets Advisory Committee (GMAC), announced the members of the newly-established Subcommittee on Margin Requirements for Non-Cleared Swaps (the Margin Subcommittee).…
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