The CFTC launched an updated online filing portal to submit CFTC Form 40 (Statement of Reporting Trader).
News & Insights
In a podcast interview with CFTC Chief Market Intelligence Officer Andrew Busch, CFTC Enforcement Director James McDonald described his approach to enforcement and emphasized the importance of incentives for self-reporting.
The CFTC Division of Market Oversight granted time-limited no-action relief to market participants from certain exemption and notice-filing requirements related to the aggregation of positions.
The NFA supported proposed CFTC amendments regarding the duties and reporting requirements of Chief Compliance Officers.
The CFTC proposed amendments that would (i) define the term "senior officer," (ii) clarify the responsibilities of a chief compliance officer ("CCO") employed by a futures commission merchant, swap dealer or major swap participant, and (iii) modify the content and submission requirements of a CCO annual report.