The National Futures Association reminded certain futures commission merchants and retail foreign exchange dealers that regulatory filings will be affected due to the Christmas and New Year's Day holidays.
The CFTC Division of Swap Dealer and Intermediary Oversight granted relief to a futures commission merchant and an investment firm from certain requirements related to the treatment of customer funds for trading in foreign futures and foreign options contracts.
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 Division of Swap Dealer and Intermediary Oversight reminded futures commission merchants and introducing brokers of their compliance requirements regarding suspicious activity reporting and economic sanctions programs.