Staff Guidance, Advisories and Questions
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Dodd-Frank Staff Guidance, Advisories and Questions
The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Staff of the CFTC is in the process of responding to questions and answers and other requests regarding rules issued under Dodd-Frank.
View Dodd-Frank Final Rules and Orders
View Dodd-Frank Proposed Rules
Currently Effective Staff Letters
Expired Dodd-Frank Staff No-Action LettersStaff Guidance, Advisories, and Questions and Answers
Publication
DateGuidance, Questions and Answers 03/03/2016 Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 11/20/2015 Frequently Asked Questions (FAQs)Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 11/05/2015 Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions (FAQs) Regarding Commission Forms CPO-PQR and CTA-PR 09/25/2015 Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 07/16/2015 Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 06/12/2015 Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 03/23/2015 Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.
17 CFR Parts 15, 17, 18 and 20; Advisories; Other Written Communication
15-1402/27/2015 01/29/2015 12/23/2014 11/13/2014 09/10/2014 06/09/2014 02/10/2014 12/23/2013 Staff Advisory Concerning Commodity Trading Advisors and Swaps
Part 4 of the Commission’s Regulations; Advisories
13-7911/15/2013 Staff Guidance on Swap Execution Facilities and Application of Certain Commission Regulations
11/14/2013 Division Of Swap Dealer And Intermediary Oversight Advisory: Applicability of Transaction-Level Requirements to Activity in the United States
Sections 2(a), 2(h), and 4s of the CEA, and Parts 23, 37, 38, 39, 43, and 50 of the Commission’s Regulations; Advisories; Other Written Communication
13-6911/14/2013 Staff Guidance on Swap Execution Facilities Impartial Access
09/30/2013 09/30/2013 09/26/2013 06/07/2013 Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities.
Section 50.52 of the Commission’s regulations; Advisories; Other Written Communication
13-2305/08/2013 Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01.
Regulation 16.01; Other Written Communication
13-1505/08/2013 Obligation of Reportable Market Participants to File CFTC Form 304 Reports for Call Cotton in a Timely Manner as Required by Commission Regulation 19.02.
Regulation 19.02; No-Action; Other Written Communication
13-1404/29/2013
Interpretation of Commission Regulation 1.73(a)(2)(iv).
Rule 1.73(a)(2)(iv); Interpretation
13-2703/22/2013 03/15/2013 02/26/2013 Filing of Annual Reports of the Chief Compliance Officer.
Regulation 39.10; Memorandum
Memorandum11/29/2012 Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps - Revised
11/14/2012 11/01/2012 Staff Interpretation Regarding Part 22.
Part 22; Interpretation
12-3110/17/2012 Division of Clearing and Risk staff issued an interpretation providing clarification that while regulation 22.2(d) prohibits an FCM from permitting a lien on Cleared Swaps Customer Collateral that it holds, regulation 22.2(d) does not prohibit a Cleared Swaps Customer from granting a lien on his or her own account at the FCM, nor does the regulation prohibit the FCM from taking action to foster the Cleared Swaps Customer’s grant of such a lien.
Regulation 22.2(d); Interpretation
12-2810/16/2012 10/12/2012 10/12/2012 Interpretation of Bona Fide Hedging in Commission Regulation 4.5: Restatement of Terms Incorporated by Reference.
Commission Regulations 4.5 and 1.3(z);; Interpretation
12-1910/11/2012 The Division of Swap Dealer and Intermediary Oversight issued an interpretative letter excluding certain securitization vehicles from the definition of commodity pool, subject to certain conditions.
Section 1a(10) of the CEA and Commission Regulation 4.10(d); Interpretation
12-1410/11/2012 Request for Interpretation of the Definition of “Commodity Pool” under Section 1a(10) of the Commodity Exchange Act.
Section 1a(10) and Commission Regulation 4.10(d); Interpretation
12-1310/09/2012 09/12/2012 Staff interpretation of Commission Regulation 39.13(g)(8)(ii).
Regulation 39.13(g)(8)(ii); Interpretation
12-0809/10/2012 8/14/2012 8/17/2011 Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps