Commodity Futures Trading Commission (CFTC) Content

[32936] November 23, 2020 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ICI Draft Comment Letters to CFTC and SEC on Portfolio Margining - Your Comments Requested by December 1 On October 22nd, the Securities...

[32914] November 17, 2020 TO: ICI MembersDerivatives Markets Advisory Committee SUBJECTS: Derivatives RE: CFTC Staff Extends No-Action Relief for SEFs from Certain Block Trade Requirements The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC or...

[32898] November 5, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Staff Issues FAQs on Post-Trade Name Give-Up On June 25, 2020, the Commodity Futures Trading Commission (CFTC or “Commission”) adopted a final rule, Regulation 37.9(d), that prohibits post-trade name give-up...

[32881] October 30, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Approves Amendments to Form...

[32878] October 29, 2020 TO: Derivatives Markets Advisory Committee RE: SEC and CFTC Jointly Request Comment on Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps - ICI Member Call on November 9th On October 22nd, the Securities and Exchange Commission (SEC)...

[32860] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files Comment...

[32868] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance CPO/CTA Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Chairman Tarbert Issues Directive on...

[32858] October 23, 2020 TO: ICI MembersDerivatives Markets Advisory Committee SUBJECTS: DerivativesInvestment AdvisersOperations RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Uncleared Swap Margin Requirements ICI has filed a comment letter with the CFTC on the...