CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling highlighted registration and disclosure requirements for firms involved in commodity pool offerings.
News & Insights
SIFMA, ISDA, FIA, and other industry trade associations and diverse banking organizations made recommendations on proposed changes to regulations implementing the "Volcker Rule."
The CFTC Division of Swap Dealer and Intermediary Oversight issued guidance on the practical implementation of no-action relief for FCM investments in money market funds.
The NFA reminded Commodity Pool Operator and Commodity Trading Advisor members that an amendment to NFA Compliance Rule 2-46 that imposes a $200 late fee for each business day after which the Member files its quarterly NFA Form PQR or PR after the due date is now in effect.
The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to several commodity pool operators from the annual report filing requirement, and from the requirement that such reports contain an audited annual financial statement.