Industry Oversight

• Industry Filings

  The Industry Filings search tool provides access to information about, and submissions by, trading and clearing organizations.

   

• Trading Organizations

  The CFTC regulates two types of trading organizations: Designated Contract Markets and Swap Execution Facilities.

• Clearing Organizations

  The CFTC oversees derivatives clearing organizations under the Commodity Exchange Act.

• Data Repositories

  Swap Data Repositories provide a central facility for swap data reporting and recordkeeping.

• Intermediaries

  Intermediaries act on behalf of other entities/persons in connection with derivatives trading.

• Market Surveillance

  The primary purpose of the CFTC's market surveillance program is to identify situations that violate the Commodity Exchange Act or Commission Regulations.

• Contracts & Products

  DCMs may list new contracts for trading by filing a written self-certification with the CFTC.

• Rules & Rule Amendments

  New rules or rule amendments may be implemented by filing with the Commission.

• Anti-Money Laundering

  The Patriot Act requires that financial institutions establish AML Programs.

• Financial Privacy

  The CFTC protects privacy and safeguards personal information according to United States law and international norms.