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Commodity Futures Trading Commission
Commodity Futures Trading Commission
The Commodity Futures Trading Commission, the Federal regulatory agency for futures trading, was established by the Commodity Futures Trading Commission Act of 1974 (7 U.S.C. 4a). The Commission began operation in April 1975, and its authority to regulate futures trading was renewed by Congress in 1978, 1982, 1986, 1992, 1995, and 2000.
The mission of the Commodity Futures Trading Commission is to protect market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity futures and options, and to foster open, competitive, and financially sound commodity futures and option markets.
The Commission consists of five Commissioners who are appointed by the President, with the advice and consent of the Senate. One
Commissioner is designated by the President to serve as Chairman. The
Commissioners serve staggered 5-year terms, and by law no more than three Commissioners can belong to the same political party.
The Commission has six major operating components: the Divisions of Market Oversight, Clearing and Intermediary Oversight, and Enforcement and the Offices of the Executive Director, General Counsel, and Chief Economist.
- Agency URL:
- http://www.cftc.gov/index.htm
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Capital Requirements of Swap Dealers and Major Swap Participants
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new regulations imposing minimum capital requirements and financial reporting requirements on swap dealers (``SDs'') and major swap participants (``MSPs'') that are not subject to a prudential regulator. The Commission is also amending existing capital requirements...
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Capital Requirements of Swap Dealers and Major Swap Participants
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is re-opening the comment period and requesting additional comment (including potential modifications to proposed rule language) on proposed regulations and amendments to existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act (``CEA''), as added...
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Adaptation of Regulations to Incorporate Swaps; Correction
On November 2, 2012, the Commodity Futures Trading Commission revised its rules. That document inadvertently failed to remove several obsolete provisions in the regulation. This document corrects the final regulations.
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Whistleblower Awards Process
The Commodity Futures Trading Commission (``Commission'') is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes to clarify staff authority to administer the whistleblower program. The Commission also is making appropriate rule amendments to implement its reinterpretation of...
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Capital Requirements of Swap Dealers and Major Swap Participants
On December 16, 2016, the Commodity Futures Trading Commission (Commission or CFTC) published in the Federal Register a notice of proposed rulemaking (Proposal) to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act (CEA), as added by section 731 of the Wall Street Reform and...
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Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending the margin requirements for uncleared swaps (``Final Rule'') for swap dealers (``SD'') and major swap participants (``MSP'') for which there is not a prudential regulator (``CFTC Margin Rule''). The Final Rule amends the CFTC Margin Rule to permit the application...
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Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self- regulatory organization rule enforcement programs, specifically National Futures Association...
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Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information,...
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Position Limits for Derivatives
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting amendments in this final rule (``Final Rule'') to conform regulations concerning speculative position limits to the relevant Wall Street Transparency and Accountability Act of 2010 (``Dodd-Frank Act'') amendments to the Commodity Exchange Act (``CEA''). Among other...
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Electronic Trading Risk Principles
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules amending its part 38 regulations to address the potential risk of a designated contract market's (``DCM'') trading platform experiencing a market disruption or system anomaly due to electronic trading. The final rules set forth three principles...
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Exemption From Derivatives Clearing Organization Registration
The Commodity Futures Trading Commission (Commission) is adopting policies and procedures that the Commission will follow with respect to granting exemptions from registration as a derivatives clearing organization (DCO). In addition, the Commission is amending certain related delegation provisions in its regulations.
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Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants-Revision of “Material Terms” Definition
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting, and invites comments on, an interim final rule (``Interim Final Rule'') to amend the definition of ``material terms'' to maintain current portfolio reconciliation requirements for swap dealers and major swap participants following the effective date of changes to...
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Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting amendments (``Final Rule'') to its margin requirements for uncleared swaps for swap dealers (``SDs'') and major swap participants (``MSPs'') for which there is not a prudential regulator (``CFTC Margin Rule''). The Commission is amending the CFTC Margin Rule to...
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Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information...
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Privacy Act of 1974; System of Records
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is establishing a new system of records, CFTC-55, ``Dental Benefits Records'' to cover records pertaining to the administration of CFTC's dental benefits program. This includes the collection and management of records relating to dental procedures covered under the program,...