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CFTC Reports

  • CFTC Budget and Strategy

    FY 2015 President’s Budget and Performance Plan, March 2014 (PDF)
    The annual budget and performance plan prepared for the Congressional Committees on Appropriations Requests the resources estimated to ensure sufficient regulation and protection of the futures, option, and swaps markets for the current fiscal year.
    Dissent of Commissioner Scott D. O’Malia
    Inspector General’s FY 2015 Budget Request

    Annual Performance Report, April 2013 (PDF) (HTML)
    A report of the CFTC’s performance results for the fiscal year 2012.
    Dissent of Commissioner Jill E. Sommers and Commissioner Scott D. O’Malia

    FY 2013 Summary of Performance and Financial Information, February 2014 (PDF 8.2MB) (PDF 4.8MB)
    A condensed report of the CFTC’s accomplishments and audited financial statements for the fiscal year 2013.

    Commodity Futures Trading Commission Strategic Plan 2011-2015, March 2011 (PDF) (HTML)
    Since the passage of the CEA, the Commodity Futures Trading Commission and its predecessor agencies have been responsible for ensuring the fair, open and efficient functioning of futures markets – we have met that challenge. After the 2008 financial crisis, and the subsequent enactment of the Dodd-Frank Act, the CFTC‘s mission was expanded to include, for the first time, oversight of the swaps marketplace. The Commission still has much work to do to effectively complete implementation of the Dodd-Frank Act and police the over-the-counter markets. Once implemented, derivatives dealers will be subject to robust oversight. Standardized derivatives will be required to trade on open platforms and be submitted for clearing to central counterparties, all of which will be subject to Federal regulation and supervision.
    Concurrence of Commissioner Scott D. O’Malia
    View public comments on the Strategic Plan

    FY 2014 Agency Financial Report, November 2014 (PDF
    A report of the CFTC’s accomplishments and audited financial statements for the fiscal year 2014.

    CFTC FY 2013 Service Contract Inventory, February 2013 (PDF)
    This inventory provides information on service contract actions over $25,000 that were made in fiscal year 2013.

    Government Reports

    Chief FOIA Officer Report 2014

    Status Report: Retrospective Review of Agency Regulations
    On July 8, 2013, the CFTC issued a fifth status report on “Phase One” of the Commission’s Plan for Review of Agency Regulations under Executive Order 13563. The Retrospective Review required under E.O. 13563 was published in the Federal Register on June 30, 2011 (76 FR 38328).

    Financial Stability Oversight Council 2011 Annual Report
    The Financial Stability Oversight Council Annual Report fulfills the Congressional mandate to report on the activities of the Council, describe significant financial market and regulatory developments, analyze potential emerging threats, and make certain recommendations.
    – Signed by FSOC member Chairman Gary Gensler, July 2011

    CFTC Inventories of Commercial and Inherently Governmental Activities
    Inventories of commercial and inherently governmental activities performed at the Commission.  These inventories are mandated by the Federal Activities Inventory Reform Act, PL 105-270.

    Inventories of commercial and inherently governmental activities performed at the Commission.  These inventories are mandated by the Federal Activities Inventory Reform Act, PL 105-270.

    Federal Activities Inventory Reform (FAIR) Act Reports

    CFTC Issuance of Personal Identity Verification (PIV) Credentials pursuant to Homeland Security Presidential Directive 12 (HSPD-12): Quarterly Status Report, March 2011

    HSPD-12 Implementation Progress Update 2010
    CFTC is currently developing an implementation plan for the Twenty Critical Controls for Effective Cyber Defense: Consensus Audit which will include HSPD-12 compliant logical access controls.

    CFTC Strategic Sustainability Plan, June 2014
    This report is in response to Executive Order 13514, “Federal Leadership in Environmental, Energy, and Economic Performance.” It describes CFTC’s efforts to improve energy efficiency and enhance environmental performance in its facilities and operations.

    CFTC Adaptation Plan, June 2014
    Under Executive Order 13514, President Obama directed Federal agencies to cut waste, pollution, and costs in Federal operations, and to evaluate climate-related risks in order to ensure they can continue to meet their mission and serve the American public in the face of a changing climate. In February 2013, Federal agencies released their first ever Climate Change Adaptation Plans to the general public, outlining strategies to reduce the vulnerability of Federal programs, assets, and investments to the impacts of climate change, such as sea level rise and more frequent or severe extreme weather. Agency plans highlight actions to prepare for and address these impacts through their programs and operations.

    Semiannual Unified Agenda of Regulatory and Deregulatory Actions from Reginfo.gov
    Select "Commodity Futures Trading Commission" in the “Select Agency” box and click “Submit.” For background on the Unified Agenda, click on the “About the Unified Agenda” link located above the “Select Agency” box.

    CFTC E-Government Report for FY 2009
    A brief overview of the CFTC’s implementation of the E-Government Act of 2002, including a description of an internal CFTC-specific E-Government initiative, process for determining which information will be made available on the website, and information dissemination activities.

    Additional and Historical Reports

    Freedom of Information Act (FOIA) Reports

    This Month in Futures Markets

    Additional CFTC Reports

    CFTC Historical Reports

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See Also:

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CFTC's Commitment to Open Government

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Explore the History of the CFTC

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