Staff Guidance, Advisories and Questions

 

Dodd-Frank Staff Guidance, Advisories and Questions

The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Staff of the CFTC is in the process of responding to questions and answers and other requests regarding rules issued under Dodd-Frank.

View Dodd-Frank Final Rules and Orders
View Dodd-Frank Proposed Rules
Currently Effective Staff Letters
Expired Dodd-Frank Staff No-Action Letters

Staff Guidance, Advisories, and Questions and Answers

Publication
Date
Guidance, Questions and Answers
03/03/2016Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
11/20/2015Frequently Asked Questions (FAQs)Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
11/05/2015Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions (FAQs) Regarding Commission Forms CPO-PQR and CTA-PR
09/25/2015Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
07/16/2015Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
06/12/2015Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
03/23/2015Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.
17 CFR Parts 15, 17, 18 and 20; Advisories; Other Written Communication
15-14
02/27/2015

Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

01/29/2015

Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

12/23/2014

Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

11/13/2014

Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

09/10/2014

Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

06/09/2014

Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

02/10/2014

Staff Guidance on Swap Execution Facility Jurisdiction

12/23/2013

Staff Advisory Concerning Commodity Trading Advisors and Swaps
Part 4 of the Commission’s Regulations; Advisories
13-79

11/15/2013

Staff Guidance on Swap Execution Facilities and Application of Certain Commission Regulations

11/14/2013

Division Of Swap Dealer And Intermediary Oversight Advisory: Applicability of Transaction-Level Requirements to Activity in the United States
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
13-69

11/14/2013

Staff Guidance on Swap Execution Facilities Impartial Access

09/30/2013

Staff Guidance on Swap Execution Facilities Regulations

09/30/2013

Frequently Asked Questions Regarding Commodity Options

09/26/2013

Staff Guidance on Swaps Straight-Through Processing

06/07/2013

Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities.
Section 50.52 of the Commission’s regulations; Advisories; Other Written Communication
13-23

05/08/2013

Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01.
Regulation 16.01; Other Written Communication
13-15

05/08/2013Obligation of Reportable Market Participants to File CFTC Form 304 Reports for Call Cotton in a Timely Manner as Required by Commission Regulation 19.02.
Regulation 19.02; No-Action; Other Written Communication
13-14

 

04/29/2013

Interpretation of Commission Regulation 1.73(a)(2)(iv).
Rule 1.73(a)(2)(iv); Interpretation
13-27

03/22/2013

 Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants

03/15/2013

Division of Market Oversight and Office of Data and Technology Advisory Regarding Upcoming Legal Entity Identifier Deadline

02/26/2013

Filing of Annual Reports of the Chief Compliance Officer.
Regulation 39.10; Memorandum
Memorandum

11/29/2012

Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps - Revised

11/14/2012

Office of General Counsel (“OGC”) Response to Frequently Asked Questions Regarding Certain Physical Commercial Agreements for the Supply and Consumption of Energy

11/01/2012Staff Interpretation Regarding Part 22.
Part 22; Interpretation
12-31
10/17/2012

Division of Clearing and Risk staff issued an interpretation providing clarification that while regulation 22.2(d) prohibits an FCM from permitting a lien on Cleared Swaps Customer Collateral that it holds, regulation 22.2(d) does not prohibit a Cleared Swaps Customer from granting a lien on his or her own account at the FCM, nor does the regulation prohibit the FCM from taking action to foster the Cleared Swaps Customer’s grant of such a lien.
Regulation 22.2(d); Interpretation
12-28

10/16/2012

Adaptation of Regulations - Redline

10/12/2012

Frequently Asked Questions (FAQ) - Division of Swap Dealer and Intermediary Oversight (“DSIO”) Responds to FAQs About Swap Entities

10/12/2012

Interpretation of Bona Fide Hedging in Commission Regulation 4.5: Restatement of Terms Incorporated by Reference.
Commission Regulations 4.5 and 1.3(z);; Interpretation
12-19

10/11/2012

The Division of Swap Dealer and Intermediary Oversight issued an interpretative letter excluding certain securitization vehicles from the definition of commodity pool, subject to certain conditions.
Section 1a(10) of the CEA and Commission Regulation 4.10(d); Interpretation
12-14

10/11/2012

Request for Interpretation of the Definition of “Commodity Pool” under Section 1a(10) of the Commodity Exchange Act.
Section 1a(10) and Commission Regulation 4.10(d); Interpretation
12-13

10/09/2012

Q&A: On Start of Swap Data Reporting

09/12/2012

Staff interpretation of Commission Regulation 39.13(g)(8)(ii).
Regulation 39.13(g)(8)(ii); Interpretation
12-08

09/10/2012
8/14/2012
8/17/2011Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps