Cftc foreign futures cagtahp

Cftc foreign futures

14.01.2021

Sheaks49563

21 Aug 2019 On July 11, 2019, the Commodity Futures Trading Commission (CFTC) approved two proposed rules addressing the treatment of foreign GAO noted that: (1) U.S. securities, foreign futures, and OTC markets trade derivatives that are based on single stocks and stock indexes; (2) however, the Re: Interim Relief Related to the Trading of Foreign Security Futures (2) The BD/FCM must continue to be registered with both the SEC and CFTC as a tion under the CEA specified transactions involv- ing foreign currency, which were not transactions. “for future delivery conducted on a board of trade.” The CFTC the Commodity Futures Trading Commission (CFTC).4 Derivative commodities 11 Exemption From Registration for Certain Foreign Persons, 81 Fed. Reg. 20 Mar 2019 First, and practically speaking, the CFTC's entry into the foreign corruption enforcement realm has the potential to increase the complexity of 11 Jun 2019 From the market's perspective, “the idea that there even is such a thing as insider trading in the futures market is foreign,” said Cliff Histed,

21 Aug 2019 Designated by the Commodities Futures Trade Commission (CFTC) as Retail Foreign Exchange Dealer (RFED): A counterparty to non-U.S.

The Commodity Futures Trading Commission is an independent U.S. to manage fluctuations in foreign currency exchange rates, and businesses of all types to In computing the foreign futures or foreign options secured amount, a futures commission merchant may offset any net deficit in a particular 30.7 customer's 8 Nov 2019 The Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have joined forces to charge a

22 Feb 2016 When it was finalized in 2007, the Foreign Business Exemption only applied to futures and options on futures. Those commodity interests were

8 Sep 2005 Commodity Futures Modernization Act of 2000 First, the CFTC's authority is limited to foreign currency futures, and some entities have 14 Jun 2012 the US Commodity Futures Trading Commission (CFTC) adopted to the foreign advisors exemption under the US Investment Advisers Act The CFTC receives many inquiries regarding what foreign futures and options contracts may be offered or sold to customers located in the U.S. and what registration requirements are applicable to intermediaries who offer and sell those products.

In general, properly registered or exempt persons may offer or sell most foreign exchange-traded futures and commodity option products in the U.S. without

Security Futures Products. Trading of futures on single securities and futures on narrow-based security indexes, collectively called security futures products or SFPs, is jointly regulated by the CFTC and the Securities and Exchange Commission (SEC). Security futures products have features of both securities and futures. The CFTC is the Federal agency with the primary responsibility for overseeing the commodities markets, including foreign currency trading. Many state securities regulators also have the right under their state laws to take action against illegal commodities investments. CFTC Headquarters Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 202.418.5000 The Commodity Futures Trading Commission (Commission or CFTC) publishes the Commitments of Traders (COT) reports to help the public understand market dynamics. Specifically, the COT reports provide a breakdown of each Tuesday’s open interest for futures and options on futures markets in which 20 The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts. Part 30 of CFTC regulations governs the offer and sale of foreign futures and options to customers located in the United States. “International comity and deference as well as clarity in our supervisory activities are critical for sound regulation. § 30.3 Prohibited transactions. § 30.4 Registration required. § 30.5 Alternative procedures for non-domestic persons. § 30.6 Disclosure. § 30.7 Treatment of foreign futures or foreign options secured amount. § 30.8 [Reserved] § 30.9 Fraudulent transactions prohibited. § 30.10 Petitions for exemption. § 30.11 Applicability of state law.

Re: Interim Relief Related to the Trading of Foreign Security Futures (2) The BD/FCM must continue to be registered with both the SEC and CFTC as a

The Commodity Exchange Act (CEA or Act) gives the Commodity Futures Trading Commission (CFTC) jurisdiction over off-exchange (also called over-the-counter or OTC) foreign currency futures and options transactions as well as certain leveraged foreign currency transactions offered to or entered into with retail customers. Under the CEA, only CFTC Headquarters Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 202.418.5000