On April 24, at the request of the National Futures Association (NFA), the staff of the Commodity Futures Trading Commission (CFTC) issued a no-action letter providing regulatory relief to principals of registrants and applicants for associated person (AP) registration with respect to submission of fingerprint cards.
Continue Reading CFTC and NFA Issue Temporary No-Action Relief for Principal or Associated Person Listings/Registrations

On April 28, Commissioner Brian D. Quintenz of the Commodity Futures Trading Commission (CFTC) announced that he will not seek re-nomination for another five-year term as a Commissioner. While his statutory term expires in April, he intends to remain in his role until the earlier of (1) October 31 or (2) confirmation of his successor.
Continue Reading CFTC Commissioner Brian D. Quintenz Announces End of His Term

The Commodity Futures Trading Commission (CFTC) will hold an open meeting on April 14 from 10:00 a.m. to 1:00 p.m. (ET) to consider several proposed amendments to its rules, including: (1) proposed amendments to the CFTC’s Part 190 bankruptcy regulations; (2) compliance requirements for commodity pool operators on Form CPO-PQR; and (3) proposed amendments to the CFTC’s Part 50 rules addressing clearing requirements for central banks, sovereigns, international financial institutions, bank holding companies and community development financial institutions.
Continue Reading CFTC to Hold an Open Commission Meeting on April 14