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Final Rules Regarding CPOs and CTAs: Additional Exemptions, Confirmation of No-Action Relief and Other Regulatory Relief ( August 2003 )
On August 8, 2003, the Commodity Futures Trading Commission (the "CFTC") announced a set of final rules designed to amend the rules relating to the exclusions and exemptions from registration for commodity pool operators (each, a "CPO") and commodity trading advisors (each, a "CTA"). -
NFA Compliance Rule 2-38: Business Continuity and Disaster Recovery Plans ( May 2003 )
The Commodity Futures Trading Commission (the “CFTC”) has approved a National Futures Association (“NFA”) rule that will become effective on July 1, 2003. Compliance Rule 2-38 (the “Rule”) requires all NFA members (each, a “Member”) to establish and maintain a written business continuity and disaster recovery plan (a “Plan”) that outlines procedures to be followed during an emergency or a significant business disruption. -
Credit Derivatives: Safe Harbors Under The CAE ( November 2000 )
Reproduced with permission of Glasser LegalWorks, 150 Clove Road, Little Falls, NJ 07424. (800) 308-1700. -
CFTC Releases Plan for Market Deregulation ( March 2000 )
The staff of the Commodity Futures Trading Commission (the "CFTC") has issued a report (the "Staff Report") which p. -
CFTC ( November 1999 )
SEC Petitions For Rehearing Of CBT Dow Index Case The Securities and Exchange Commission has petitioned the Sev. -
CFTC Approves Actions To Advance Regulatory Reform ( November 1999 )
The Commodity Futures Trading Commission recently approved two actions as part of its ongoing regulatory reform. -
CTA Registration Requirement Is Unconstitutional Prior Restraint As Applied To Publishers of General Commodities Trading Advice ( September 1999 )
The United States District Court for the District of Columbia declared unconstitutional the Commodity Futures Tradi. -
CFTC Clarifies Applicability of "Letters" Definitions ( June 1999 )
The Staff of the Commodity Futures Trading Commission ("CFTC") recently issued an advisory clarifying that the foll.
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