The CFTC Division of Swap Dealer and Intermediary Oversight provided temporary exemptive relief to non-U.S. introducing brokers that temporarily fail to register with the CFTC.
News & Insights
A proposed CFTC exemptive order that would allow certain derivatives clearing organizations to invest futures and swap customer funds in French and German sovereign debt was published in the Federal Register.
The CFTC added 21 names to a list of foreign entities that are not registered with the CFTC. These entities are suspected of soliciting and accepting funds from U.S. retail investors for trading in binary options or foreign currency.
The CFTC issued a proposed exemptive order to permit certain derivatives clearing organizations to invest futures and swap customer funds in French and German sovereign debt.
The CFTC added the names of 71 foreign entities to the Registration Deficient ("RED") List. There are now over 110 foreign entities on the RED list.