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Advisories

Date
Advisories
05/08/2013
13-14 PDF Image; Regulation 19.02; Advisories; No-Action; Other Written Communication
No-Action Relief with Respect to Email as an Accepted Form of Transmitting Form 304 Reports for Call Cotton.
05/08/2013
13-15 PDF Image; Regulation 16.01; Advisories; Other Written Communication
Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01.
05/22/2013
13-16 PDF Image; Part 17 of the CFTC’s regulations; Advisories; Other Written Communication
Obligation of Futures Commission Merchants, Clearing Members and Foreign Brokers to Report Omnibus Account Information in a Timely Manner as Required by Commission Regulation 17.04(a).
06/07/2013
13-23 PDF Image; Section 50.52 of the Commission’s regulations; Advisories; Other Written Communication
Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities.
07/08/2013
13-42 PDF Image; CFTC Regulation 19.01; Advisories
The CFTC's Division of Market Oversight has issued an Advisory to remind reportable market participants of their obligation to submit accurate Form 204 reports for wheat, corn, oats, soybeans, soybean oil, and soybean meal on a monthly basis as required under CFTC Regulation 19.01, and to follow the instructions included on Form 204.
11/14/2013
13-69 PDF Image; Sections 2(a), 2(h), and 4s of the CEA, and Parts 23, 37, 38, 39, 43, and 50 of the Commission’s Regulations; Advisories; Other Written Communication
The Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Advisory on the applicability of Dodd-Frank Transaction-Level Requirements to swaps between non-U.S. swap dealers (whether an affiliate or not of a U.S. person) and non-U.S. persons if the swap is arranged, negotiated, or executed by personnel or agents of the non-U.S. swap dealer located in the U.S.
12/23/2013
13-79 PDF Image; Part 4 of the Commission’s Regulations; Advisories
Staff Advisory Concerning Commodity Trading Advisors and Swaps
02/25/2014
14-20 PDF Image; Section 4(c)(6); Advisories; Other Written Communication
Staff from the Division of Market Oversight and the Division of Clearing and Risk issued an Advisory, which helps provide clarity to certain market participants regarding certain statements made in the Final Order in Response to a Petition from Certain Independent system Operators and Regional Transmission Organizations to Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas from Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act.
02/26/2014
14-21 PDF Image; Part 160; Advisories
Best practices for complying with GLB Security Safeguards

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