CFTC Chair Heath P. Tarbert compared the benefits of using a principles-based approach with those of a rules-based approach to regulation.

The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published in the Federal Register.

The CFTC Division of Swap Dealer and Intermediary Oversight granted time-limited no-action relief relating to the application of minimum transfer amounts under uncleared margin requirements.

The CFTC provided guidance for swap dealers, futures commission merchants and major swap participants on annual compliance report requirements.

The CFTC added 21 non-registered foreign entities to its Registration Deficient List.

The CFTC adopted final rule amendments that incorporate CFTC staff guidance on CPO and CTA registration and reporting requirements.

CFTC Chair Heath P. Tarbert described five strategic goals for the agency and outlined related action plans.

The CFTC created two subcommittees under the Market Risk Advisory Committee: the (i) Central Counterparty Risk and Governance Subcommittee and (ii) the Market Structure Subcommittee.

In a 2019 Annual Report, the CFTC Division of Enforcement reviewed key metrics from the past year, including the number of cases filed and the amount of relief provided.

A swap dealer settled CFTC charges for failing to provide certain audio recordings during an investigation.