Commission (CFTC) jointly adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, to: Enhance reporting by large hedge fund advisers qualifying hedge fundsregarding to provide better insight into the operations and strategies of these funds and their advisers

In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market. The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act assigned the CFTC responsibility for “swaps” and the SEC re-

2023年11月2日 · While the swaps markets overseen by the CFTC—such as interest rate swaps, energy swaps, and other commodity swaps—have a notional value in the hundreds of trillions of dollars, security-based swaps overseen by the SEC still are quite significant, with a notional value of approximately $8.5 trillion.

2001年7月17日 · The CFTC also proposed amendments to CFTC Rule 1.55 and the CFTC's Part 190 bankruptcy rules, and the SEC proposed amendments to SEC Rules 15c3-3, 17a-3, 17a-4, 17a-5, 17a-7, 17a-11, and 17a-13 20 that were designed to eliminate duplicative regulation that may have been applicable to Full FCM/Full BDs and notice-registrants.

2019年10月11日 · In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps dealers, major swap participants, retail foreign exchange dealers, commodity pool operators, and commodity trading advisors pursuant to the Commodity Exchange Act (CEA).

Given the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are maintained to the extent portfolio margining is permitted. * * * * * * * * * * We appreciate the opportunity to provide comments on potential ways to implement portfolio

2024年8月14日 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.

2019年7月15日 · It is critical that the CFTC and SEC hear from the panel together because our markets are so intertwined. I am particularly interested in the Committee's first focus: advising on courses of action in response to the lessons learned from the market events of May 6." —CFTC Chairman Gary Gensler : Committee News

Regarding the Market Events of May 6, 2010 – Report of the Staffs of the CFTC and SEC to the Joint Advisory Committee on Emerging Regulatory Issues (the “Preliminary Report”).2 Readers are encouraged to review the Preliminary Report for important background discussions and analyses that are referenced but not repeated herein.

2024年2月8日 · The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators or commodity trading advisers.