The Commodity Futures Trading Commission’s Division of Market Oversight has issued no-action relief from the prohibition in CFTC Regulation 43.6(h)(6) on the aggregation of orders for different accounts to satisfy minimum...more
The Commodity Futures Trading Commission’s Division of Market Oversight previously issued no-action letters to foreign boards of trade (FBOTs), pursuant to which FBOTs that list futures and options for trading are permitted...more
CFTC Grants No-Action Relief to SDs and MSPs Regarding Relationship Documentation and Business Conduct -
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued...more
On December 27, National Futures Association issued guidance for NFA members carrying accounts, accepting orders or handling transactions from an introducing broker (IB) whose NFA membership is pending in reliance upon...more
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued three no-action letters granting relief from commodity pool operator (CPO) registration for operators of certain...more