The CFTC proposed raising the amount of money required to invest in funds under CFTC Rule 4.7 ("Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons") and increasing the disclosure requirements applicable to such funds.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.
The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
The CFTC disapproved a designated contract market's proposed options contract based on which political party will have control of Congress.