Reports & Studies

The Dodd-Frank Wall Street Reform and Consumer Protection Act requires the CFTC to conduct a number of studies and reports on a wide variety of issues that affect the derivatives market. Information regarding these reports and studies will be published as it becomes available.


Carbon Markets

Study and report to Congress with other Federal agencies on oversight of existing and prospective carbon markets including spot and derivative markets.
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Algorithmic Decriptions

Study on feasibility of requiring derivatives industry to adopt standardized computer-readable algorithmic descriptions to describe complex and standardized financial derivatives.
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Swap and Clearing Regulation

Study on swap and clearing regulation in the U.S., Asia, and Europe.
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Stable Value Contracts

Study on whether stable value contracts fall within the definition of “swap” and, if so, whether an exemption is appropriate and in the public interest.
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77 FR 60113 // PDF Version
Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
Comment File - Closing Date: 11/1/2012

Position Limits

Study on effects (if any) of position limits imposed pursuant to Title VII on excessive speculation and the movement of transactions from U.S. exchanges to trading venues in other countries.

FOIA Exemption

Inspector General study on impact of FOIA exemption on ability of whistleblowers to disclose information to CFTC and on public’s ability to access information about CFTC’s regulation of futures and options markets.


Improving Clearing Oversight

Report on improved risk management supervision of derivatives clearing organizations and securities clearing agencies designated as systemically important.
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Abusive Swaps

Collect information and issue a report regarding “abusive swaps” detrimental to stability of a financial market or participants in a financial market.

World Derivatives Markets

Report to Congress on growth or decline of derivatives markets in U.S. and abroad, including causes for such growth or decline and other related issues.

New Product Delegation

Public report on trading and clearing in the major swap categories, market participants and developments in new products, and possible delegation thereof.


Transmit a report to oversight committees of House and Senate on the whistleblower program and fund.

Swap Dealer De Minimis Exception

Report assessing the current de minimis exception for swap dealer registration using available swap trading data.
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