Retail Foreign Exchange Transactions - Conforming Amendments

Retail Foreign Exchange Transactions - Conforming Amendments

The Commodity Futures Trading Commission (Commission) amended its regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions). These amendments incorporate into Part 5 of the Commission's regulations changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission also issued certain related technical interpretations of various provisions of the CEA as amended by the Dodd-Frank Act with respect to retail forex transactions.

Retail Foreign Exchange Intermediaries - Registration

Retail Foreign Exchange Intermediaries - Registration

The Commodity Futures Trading Commission (Commission) adopted regulations and amendments to existing regulations to establish requirements for, among other things, registration, disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards with respect to off-exchange transactions in foreign currency with members of the retail public.

Reporting Pre-Enactment Swap Transactions (IFR)

Reporting Pre-Enactment Swap Transactions (IFR)

The Commodity Futures Trading Commission (Commission) published an interim final rule to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). Section 729 of the Dodd-Frank Act requires the CFTC to adopt, within 90 days of enactment of the Dodd-Frank Act, an interim final rule for the reporting of swap transactions entered into before July 21, 2010 whose terms had not expired as of that date ("pre-enactment unexpired swaps").

Registration of Intermediaries

Registration of Intermediaries

The Commodity Futures Trading Commission (Commission) is adopting regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding registration of intermediaries. Specifically, the Commission is adopting certain conforming amendments to the Commission's regulations regarding the registration of intermediaries, consistent with other Commission rulemakings issued pursuant to the Dodd-Frank Act, and other non- substantive, technical amendments to its regulations.

Real-Time Reporting for Swaps

Real-Time Reporting for Swaps

The Commodity Futures Trading Commission (Commission) adopted regulations under Part 43 to implement certain statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, the Commission adopted rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.

Protection of Collateral of Counterparties To Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Protection of Collateral of Counterparties To Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

The Commodity Futures Trading Commission (the ``Commission'') is issuing final rules implementing new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). Specifically, the final rule contained herein imposes requirements on swap dealers (``SDs'') and major swap participants (``MSPs'') with respect to the treatment of collateral posted by their counterparties to margin, guarantee, or secure uncleared swaps.

Process for Rule Certifications for Registered Entities (Part 40)

Process for Rule Certifications for Registered Entities (Part 40)

The Commodity Futures Trading Commission (Commission) adopted regulations to implement certain statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission also is amended its existing regulations governing the submission of new products, rules, and rule amendments. The final regulations establish the procedural framework for the submission of new products, rules, and rule amendments by designated contract markets, derivatives clearing organizations, swap execution facilities, and swap data repositories.