Which of the following is not a category outlined by the cftc. Intermediaries defined in the Commodity Exchange Act and .

Which of the following is not a category outlined by the cftc. Dec 26, 2024 · The NFPA 921 outlines four primary categories of fire effects, which include mass loss, deformation, and deposition. CFTC-48, Personal Property Claims Oct 21, 2024 · CFTC Doubles the 4. 7 that were limited to an increase in the “Portfolio Requirement” threshold contained in the definition of “qualified eligible person” (QEP) and other less controversial changes. 7, a provision that provides exemptions from certain compliance requirements for commodity pool operators (CPOs) regarding commodity pool offerings to qualified eligible persons (QEPs) and for commodity trading advisors (CTAs) regarding trading programs Background & Introduction The scope of the “trade execution requirement” – the obligation to trade certain cleared swaps on swap execution facilities or designated contract markets (hereinafter referred to collectively as “SEFs”) – is currently set through the “made available to trade” (“MAT”) process. Aug 24, 2012 · [1] CFTC Rule 4. An 'Introducing Broker' is a person or firm that solicits or accepts orders to buy or sell futures contracts but does not accept money or other assets from customers to support such orders. The Commodity Exchange Act, passed in 1936, has established Which of the following is NOT true of parents' roles as collaborative members of their child's multidisciplinary team? They can complete assignments on behalf of their child. The COT report is not the only source of information regarding the potential size and timing of investment fund rolls. Each exemption has specific legal requirements. Seeing Commodity Pools More Clearly Jumping into a commodity pool is one of several ways you can trade in commodity futures markets. Which of the following is defined as "the process of identifying and interpreting fire patterns to determine how the patterns were created and their significance?" Vin diagram analysis Fire pattern analysis Fault What is the first step you need to do? (a)Filter the dataset by salaries (b)Select the function to be used for the subtotal (c)Insert new rows where you want the subtotal rows within the dataset (d)Sort the dataset by a field containing categories, Why would you click the collapse outline symbol above a column of outlined data? (a)You want to CPOs are required to register with the NFA unless they meet one of the requirements for exemption outlined by the CFTC. d) Communication and interaction. However, it doesn't outline a category known as 'Consumers'. 10891). Exchange Analytics was originally authorized to provide ethics training by the CFTC in 1995. 2(a) of the regulations of the Commodity Futures Trading Commission, KalshiEX LLC (Kalshi), a registered DCM, hereby notifies the Commission that it is self-certifying the “Will any member leave <group> before <date>?” contract (Contract). Jul 25, 2025 · This is the viewable version of the most recent release of the Other disaggregated long form combined commitments report. Which of the following is NOT one of these categories? - foreign currencies - financial futures - all categories are correct - agricultural commodities - metals and minerals - all categories are correct On December 15, 2023, the Commodity Futures Trading Commission (CFTC) approved the proposed amendment to the trade reporting requirements outlined in Part 43 and Part 45. Final answer: The CFTC outlines four categories of commodities: agricultural, energy, metals, and currency commodities. Dec 17, 2024 · However, the following options do not fall under the category of derivatives: Commercial Paper: This is a short-term unsecured promissory note issued by a company. CFTC Appendix to Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers—CFTC Voting Summary Second, any of the following, if registered with the Commodities Futures Trading Commission (CFTC) is exempt: “futures commission merchant”, “introducing broker”, “swap dealer”, “major swap participant”, “commodity pool operator”, or “commodity trading advisor” (per §1a of the Commodity Exchange Act), or a “retail SUMMARY: The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act (CEA or Act), enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Which of the following is NOT one of these categories?, Which of the following statements is NOT true about a futures contract?, A clearinghouse's position on all trades is and more. B) Appeal All topics required by the CFTC’s Statement of Acceptable Practices are addressed in Exchange Analytics’ Initial Futures Ethics training program. Learn more about CFTC BMC Categories here Question: Which of the following is NOT a category outlined by the CFTC (Commodities Futures Trading Commission)?CommercialConsumersMerchantsManaged Money Jul 12, 2024 · Answer of - Which of the following is NOT a category outlined by the CFTC (Commodities Futures Trading Commission)? Merchants Comm | SolutionInn Which of the following is NOT a category outlined by the CFTC Commodities Futures Trading Commission Consumers Merchants Commercial Managed Money Remove Swap Dealer from Commercial Category and Create New Swap Dealer Classification for Reporting Purposes: In order to provide for increased transparency of the exchange traded futures and options markets, the Commission has instructed the staff to develop a proposal to enhance and improve the CFTC‘s weekly Commitments of Traders Report by 0 1 FullscreenGo Back?Which of the following is NOT a category outlined by the CFTC (Commodities Futures Trading Commission)? MerchantsConsumersManaged MoneyCommercialSubmit AnswWET < Here’s the best way to solve it. 3(ggg) of the Commission’s regulations by excepting non-deliverable foreign The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend Regulation 4. The final rules will also provide for more efficient reporting of information related to positions in futures and swaps. Consumers is not a category outlined by the CFTC. (61 Fed. High complexity, Which of the following agencies requires employers to ensure employee safety concerning occupational exposure to potentially harmful Which of the following is not a step in the effective instruction of learners who are gifted and talented? Preassessing the students to determine their current level of content knowledge § 4. Oct 5, 2022 · Transcribed image text: Which of the following is NOT a category outlined by the CFTC (Commodities Futures Trading Commission)? Merchants Commercial Consumers Managed Money A blank space in this column means that, although approved by the Commission, the exchange has not listed the contract for trading as of the end of the current fiscal year. 10: Which of the following is NOT one of the four major categories of quality measures? a. 1 This paper sets forth recommendations across six key elements of a robust margin framework, many of which CCPs are following today. 7 U. Clarity on the timing of a clearing mandate will encourage all market Oct 22, 2024 · CFTC Doubles the 4. Feb 1, 2024 · Application of Commodity Definition as a Matter of First Impression Even if NFTs do not fall within the four corners of the CFTC’s existing interpretation of virtual currencies as commodities outlined above, this does not preclude an analysis that an NFT or NFT project may constitute or involve a “commodity. Question: Which of the following is nOT a category outlined by the Commodities Future TRADING COMMISSION? COMMERCIAL MANAged money, Merchants, Consumers Which of the following is nOT a category outlined by the Commodities Future TRADING COMMISSION? COMMERCIAL MANAged money, Merchants, Consumers Here’s the best way to solve it. Lawmakers released a new draft of the CLARITY Act, a market structure bill that would expand the CFTC’s role and clarify how digital assets are classified and regulated. Moderate complexity D. ” This is a joint rulemaking Many CFTC registrants that are NFA members outsource certain of their regulatory obligations to third-party service providers and vendors, to perform functions that otherwise would be undertaken by the member firm in order to comply with CFTC or NFA requirements. However Sep 26, 2024 · Of course, not all persons are required to meet the Portfolio Requirement to be treated as QEPs under Rule 4. Oct 17, 2024 · Overview of the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA) The Commodity Futures Trading Commission (CFTC) is an independent agency of the United States government tasked with promoting the integrity, resilience, and vibrancy of the United States derivative markets through sound regulations. This program complies with the If the Commission does not view these as equivalent speculative (non- commercial) positions, than I would prefer to see it listed under a separate category and reserve the commercial category for traditional hedgers. When a child is diagnosed with a serious disability, their parents usually experience the emotion of last. The CFTC may have the following principal concerns in this regard: That the overall margin CME and FICC collect in respect of customer positions would be less than in the absence of implementation of the model. Reg. Most CPOs must be registered members of the National For example, hedging of physical positions—as outlined in interim Commission regulation 1. Introduction In February 2012, the Commodity Futures Trading Commission (the “CFTC”) adopted final amendments to its rules governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”). All registered CPOs must be members of the NFA in order to conduct business with the public. Organized exchanges establish and enforce rules for the trading of financial futures contracts. Swap categories shall be established for all swaps, by asset class, in the following manner: (1) Interest rate asset class. 13 (a) (4), which was adopted in 2003, generally exempted from CFTC registration CPOs of funds whose natural person investors are “qualified eligible persons” (“QEPs”) within the meaning of CFTC Rule 4. Study with Quizlet and memorize flashcards containing terms like What areas of training are required for those who ship dangerous goods?, Which regulatory body publishes the Model Regulations?, Which mode of transport has the most restrictive regulations? and more. Swaps in the interest rate asset class shall be grouped into swap categories as follows: (i) Based on a unique combination of the following currencies and tenors: Sep 29, 2020 · The new SRS category does not have an analogue in any of the CFTC's previous cross-border regulations. All products traded at Cleartrade are entirely fungible. , Microsoft SharePoint, including but not limited to a staff member’s title, business and personal contact information, and organizational chart and hierarchy information. The Commodity Exchange Act (CEA) requires that all registrants be aware and stay informed of their continuing obligations to the public. The Commission is proposing amendments to further specify types of event contracts that fall within the scope of section 5c(c)(5)(C) of the Commodity Exchange Act (CEA or the Act) and are contrary to the public interest, such Apr 11, 2025 · The following Commodity Futures Trading Commission (CFTC) appendix will not appear in the Code of Federal Regulations. To meet its statutory mission of ensuring market integrity and customer protection with respect to products listed under self The research presentedinthispaperwas co-authoredbyRichardHaynesandJohnRoberts,whoarebothCFTCemployees,in their oÿcial capacities withtheCFTC. The new rules outlined in the Dodd-Frank Act are intended to protect fair and equitable trading; however, CMC is concerned the statutory language is overly broad and if not implemented with precision could discourage market participation. structure b. Among the options provided, saponification is not listed as one of the four categories. Jun 6, 2025 · This week’s tracker covers several significant developments in crypto policy. Three months later, on March 28, 2022, the U. , T/F- A CTA is not required to disclose whether Jul 25, 2025 · This is the viewable version of the most recent release of the AG short form Futures commitments report. The SEC issued a staff statement interpreting many proof-of-stake staking activities not to involve the offer or sale of securities, providing 7Section 723(a)(3) of the Dodd-Frank Act added a CEA section 2(h) to establish the clearing requirement for swaps. FinCEN finalized its exempt company categories in Section 101. , If a person seeking membership in the NFA is denied entry, which of the following is TRUE? A) Denial of admission can be appealed under the NFA's Code of Arbitration. This section is organized as follows: Paragraph (a) of this section specifies the criteria that must be met to qualify for exemption from registration under this section, including the notice of exemption from registration and continuing obligations of persons who have claimed exemption under paragraph (a) (8) of this section Jul 1, 2003 · 1 The regulatory category for derivatives transaction execution facilities was removed by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Organized exchanges ensure that the seller of the futures contract always delivers the securities covered by the contract, whether the contract was settled prior to the settlement date or not In general, the Commodity Exchange Act (CEA) and CFTC regulations do not restrict the offer or sale of foreign exchange-traded futures and commodity option products to customers located in the U. Which of the following is NOT a category outlined by the CFTF (Commodities Futures Trading Commission)? Study with Quizlet and memorize flashcards containing terms like CFTC, Commodities Exchange Act, Commodity Futures Modernization Act of 2000 and more. Designated contract markets (DCMs) may list for trading new contracts by filing a self-certification with the Commission that the new contract complies with the Commodity Exchange Act (CEA) and the Commission’s regulations or by requesting Commission approval. Page contains the reference guide for exemptions for CPO and CTA members. Out of the given options, Weather Risk is not a category outlined by the CFTC BMC. Study with Quizlet and memorize flashcards containing terms like Futures and forward contracts are traded on a wide variety of goods in four broad categories. The requirement to clear swaps was added by the Dodd-Frank Act and was intended to lower systemic risk to the economy because increased clearing of swaps arguably lowers default risk, promotes transparency, and bolsters risk management. — The Commodity Futures Trading Commission today issued a Notice of Proposed Rulemaking to further specify types of event contracts that fall within the scope of Commodity Exchange Act (CEA) section 5c (c) (5) (C) and are contrary to the public interest. Do managers of private funds investing in futures, options on futures or off-exchange forex need to register with the CFTC? Yes. Which of the following is incorrect regarding organized exchanges trading financial futures contracts? A. Regulation 4. The Commission is amending reporting-related rules in parts 15, 17, 18, and 20 of its regulations to identify trading The final rules on Ownership and Control Reports (OCR) and Forms 102/102S, 40/40S, and 71 will provide the Commission with enhanced visibility of participants in futures and swaps markets and their positions and trading. NFA believes it is appropriate for an ethics training program to explain the rules of swap execution facilities applicable to a Member's business. May 23, 2008 · As outlined in the bill, the agency will propose a rule regarding the standards for SPDCs within 180 days of enactment and will implement a final rule within 270 days. The CFTC will identify significant price discovery contracts within 180 days after the final rule is in effect. Jul 18, 2024 · The Commodity Futures Trading Commission (CFTC) is an independent federal agency in the United States responsible for regulating the derivatives markets. Just four days into the new year, on January 4, 2022, Rostin Behnam was sworn in as the CFTC’s 15th Chairman. This framework is not grounded in the sometimes grandiose visions of DeFi industry leaders, but instead a more technical understanding of the core features of DeFi, the current state of play, and the likely consequences—both Oct 4, 2024 · In the Request, Kalshi represents that the Kalshi Contracts “are binary option contracts on the outcome of various events” and “are swaps under the Commodity Exchange Act (‘CEA’). Additionally, there can be no trading requirement prior to the Commission’s determination that a swap is required to be cleared, a trading platform(s) has listed the swap for trading, and the Explanation The CFTC outlines categories for market participants, which include Commercial, Merchants, and Managed Money. In this situation CFTC staff may request additional data from the trader or firm in an effort to clarify which category would be the best fit. While these actions do not constitute formal rulemaking or adoption of new regulations, they underscore CFTC’s continued awareness of and attention to the potential benefits and risks of AI on The CFTC Glossary is intended to assist the public in understanding some of the specialized words and phrases used in the futures industry since many of these terms are not found in standard reference works. DOJ Corporate Enforcement and Voluntary Self-Disclosure Policy What is the CFTC’s intermediaries registration and examination program? Registration and examination of intermediaries is conducted on behalf of the CFTC by the National Futures Association (NFA) under the supervision of the CFTC. Oct 15, 2023 · The categories outlined by the CFTC include: Agricultural Commodities: This category encompasses a range of products such as crops (like corn and wheat), livestock, and other agricultural related products. g. , The Chairperson and Commissioners of the CFTC are appointed by, The principal functions of the CFTC are to: and more. All topics required by the CFTC’s Statement of Acceptable Practices are addressed in Exchange Analytics’ Initial Futures Ethics training program. Futures Ethics Periodic Course. The CFTC did not approve the sweeping changes to Rule 4. Warning Signs of Fraud active participants in the foreign exchange markets. The regulations include specific conditions The final rules implement the Dodd-Frank Act’s business conduct requirements for swap dealers (SD) and major swap participants (MSPs) in their dealings with counterparties, including “Special Entities. 7 it had proposed that would have dramatically increased SUMMARY: The Commodity Futures Trading Commission (Commission or CFTC) is proposing amendments to its rules concerning event contracts in certain excluded commodities. c) Positive and supportive climate. 7, a provision that provides exemptions from certain compliance requirements for commodity pool operators (“CPOs”) with respect to offerings to qualified eligible persons (“QEPs”) and for commodity trading advisors (“CTAs”) with respect to advising QEPs. The new report separates large traders in the financial markets into the following four categories: Dealer Study with Quizlet and memorize flashcards containing terms like Which of the following is not a CFTC Registration category?, T/F - A "CPO" is required to disclose to prospective pool participants the types of commodity interests the CPO intends that the ppol will trade, and a desciption of any restrictions or limitations on trading by the pool. 7 Portfolio Requirement for CPOs and CTAs On September 12, 2024, the Commodity Futures Trading Commission (CFTC) published a Final Rule amending the CFTC Regulation 4. C. Unless an exemption applies, a manager advising and soliciting funds for a commodity pool must register as a CPO. ” CFTC Part 4 Exemption Easy Reference GuideCFTPart4ExempionsyRfcGud Study with Quizlet and memorize flashcards containing terms like What are the five categories of HIPAA Security Rule standards?, What are the four Physical Safeguard Standards?, What does Security Rule require covered entities to do under Physical Safeguards? and more. CFTC Part 4 Exemption Easy Reference GuideCFTC Part 4 Exemption Easy Reference Guide In addition to fraud and manipulation, the CFTC has initiated the following categories of enforcement actions involving derivative trading: Reporting, risk management, adequate compliance programs, and business practices. The CFTC Glossary is not inclusive, and if you cannot find the term you are looking for or have any other comments, please let us know. David Gary 202-418-5085 Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations The Commodity Futures Trading Commission (CFTC or Commission) is adopting interpretive guidance and a policy statement (Guidance) regarding cross-border application of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The implementation date is scheduled for one year from now on July 25, 2025 An entity acting as a Trading Advisor Click on the exemption type for more information on how to file and requirements for each exemption. May 2, 2013 · As a final point of clarification, the no-action relief provides market participants with certainty that the OGC will not recommend that the CFTC bring enforcement actions under the CEA. This rewrite was very much expected by the industry and has been discussed in industry working groups, so there should be no surprises with the content or the timing. The study found that the CFTC’s traditional COT reports did not give insight into the activities of hedge funds and swap dealers in futures Futures and forward contracts are traded on a wide variety of goods in four broad categories. 3(ggg)(6)(iii)—is not included in calculating the de minimis amount for swap dealers. There are 2 steps to solve this one. S. The reports are released every Friday and provide market participants Where forex firms do not fall into the categories of regulated entities outlined above and engage in foreign currency futures and options transactions with or for retail customers who do not have high net worths, the CFTC has jurisdiction over those firms and their transactions. 5 or 4. 380 (c) (2) of its Final Rule, so that each category of exempt entity is excluded from the definition of “reporting company”. com VDOM Nov 17, 2022 · Disaggregated Commitment of Traders Reports (DCOT) came about from a recommendation made by a CFTC September 2008 staff study about the influence of swap dealers and index traders on the commodities markets after the Global Financial Crisis (GFC). May 22, 2025 · The United States Department of Justice (DOJ), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC) have now issued guidance to corporations providing concrete benefits that companies, their shareholders, boards, and customers can earn by voluntarily self-reporting misconduct to the DOJ. Jul 25, 2025 · This is the viewable version of the most recent release of the Financial Traders in Markets short form Futures Only commitments report. 7. The final rulemaking on position limits will enable the Note: The following appendices will not appear in the Code of Federal Regulations. 14 Exemption from registration as a commodity trading advisor. ”7 Kalshi represents that the Kalshi Contracts “provide for a payment that is dependent on the occurrence, nonoccurrence, or the extent of the occurrence of an event or contingency associated with a Should the Commodity Futures Trading Commission (“CFTC” or “Commission”) decide to proceed with a clearing mandate for NDFs, such mandate should contain a clear timeline and method of implementation to ensure that market participants have appropriate opportunity to address the issues outlined in this paper. True or False. The Disaggregated Commitment of Traders sets out open interest by long, short, and spreading for the three categories of traders - "swap dealers," "managed money," and "other reportable. Which of the following is not one of the four categories of fire effects outlined in Section 6. Likewise, the Index Traders category will not include some traders who are engaged in index trading, but for whom it does not represent a substantial part of their overall trading activity. May 10, 2024 · Washington, D. 7 requirements for commodity pool operators (CPOs) and commodity trading advisors (CTAs). Notably, this proposed amendment does not encompass the forthcoming ISO 20022 changes. Jul 25, 2025 · This is the viewable version of the most recent release of the CMX long form futures only commitments report. Special procedures do apply, however, to the offer or sale of security index and foreign government debt products. " We outline a conceptual framework for understanding and taking steps to address these opportunities and risks across these diverse enterprises, projects, and ecosystems. ” Cleartrade do not impose position limits, although it has the ability to do so under Rule 7. CFTC-47, Internal Electronic Collaboration Tools This system contains records in CFTC’s internal collaboration tools, e. 7 (a) (2) which include a “Qualified Purchaser” (as defined under the Investment Company Act of 1940) continue to be QEPs, without regard to the Portfolio Requirement. Which of the following is NOT a category outlined by the CFTC (Commodities Futures Trading Commission)? Merchants Commercial Consumers Managed Money. Managed Money: This category includes individuals or entities that trade futures contracts on behalf of others, such as commodity trading advisors (CTAs) or commodity pool operators (CPOs). Based on the given options, "Managed Money" is a category outlined by the CFTC. Among other things, the CFTC determined to rescind Rule 4. Oct 15, 2024 · SUMMARY: The Commodity Futures Trading Commission (the “Commission” or “CFTC”) is issuing this guidance to outline factors for consideration by designated contract markets (“DCMs”), when addressing certain provisions of the Commodity Exchange Act (“CEA”), and CFTC regulations thereunder, that are relevant to the listing for trading of voluntary carbon credit (“VCC 6. Low complexity B. TheOÿceofthe Chief Economistand CFTC economistsproduce original research ona broad range of topics relevantto the CFTC’s mandate to regulate commodityfutures markets, commodityoptions markets, and the Aug 8, 2024 · The long-awaited rewrite to the Canadian trade reporting rules has now been finalized and published by the Canadian Securities Administrators (CSA). In NFA arbitration, a party may be represented at any time throughout the proceeding by an attorney or other representative. The Commodity Exchange Act (CEA), as amended by the Wall Street Transparency and Accountability Act of 2010 (Dodd-Frank Act), requires the Commission to establish such limits as it finds are necessary for the purpose of preventing the burdens associated with Which of the following is not one of the four primary motivations of rapists outlined in the revised MTC:R3 classification scheme? a) Sexual gratification b) Pervasive anger c) Pervasive hatred d) Opportunity e) Vindictiveness B In the MTC:R3, the primary motivations are sometimes subdivided according to: a) social competence. For the reasons outlined below, we urge the Commodity Futures Trading Commission (the “Commission” or “CFTC”) to amend the de minimis exception in paragraph (4) of the ‘‘swap dealer” definition in § 1. The Contract will initially be listed after close-of-business on July 25, 2025 Aug 14, 2024 · A CFTC-registered intermediary is an entity or individual registered with the CFTC to engage in specific activities within these markets. Pursuant to Section 5c(c) of the Commodity Exchange Act and Section 40. Intermediaries are generally required to register with the Commission and, depending on the nature of their activities, may be subject to various financial, disclosure, reporting, and recordkeeping requirements. 2(h). 13(a)(4) of its regulations, an exemption from CPO registration upon which many sponsors of private funds have relied May 24, 2016 · The Final Rule includes special provisions to accommodate swap activities in jurisdictions that do not have a legal framework to support custodial arrangements or that do not have netting arrangements that comply with the CFTC’s margin rule. Senate approved four new Commissioners— Christy Goldsmith Romero, Kristin John- son, Summer Mersinger, and Caroline 6. Therefore correct option is D Explanatory Notes The Traders in Financial Futures (TFF), announced by the Commodity Futures Trading Commission (CFTC) on July 22, 2010, builds on improvements to transparency implemented in 2009 that disaggregated data in the CFTC’s weekly Commitments of Traders (COT) Reports. — The Commodity Futures Trading Commission today published a final rule that amends CFTC Regulation 4. The CFTC provides public access to data reports in which market participants are categorized as Commercial, Non-commercial, and Others. Which of the following is defined as "the process of identifying and interpreting fire patterns to determine how the patterns were created and their significance?" Vin diagram analysis Fire pattern analysis Fault FAQ regarding CPO registration for hedge fund managers including the current exemptions from registration under the CEA. Money Markets: This refers to the market for short-term borrowing and lending with maturities that usually do not exceed one year. b) Safe and orderly environment. The commodity pool operator (CPO) manages and solicits funds for the pool. Sep 20, 2024 · Pre-Print Version – Commission approved on 9/19/2024 (subject to technical corrections required for Federal Register publication) Mar 17, 2023 · The year 2022 was a historic year for the Commodity Futures Trading Commis- sion (“CFTC” or the “Commission”). 13(a)(3)) and the manager must not know and could not have reasonably known that the fund’s indirect exposure to commodity interests Final Rules Regarding Further Defining “Swap Dealer,” “Major Swap Participant” and “Eligible Contract Participant” The Commodity Futures Trading Commission (CFTC) announced its intent to publish in the Federal Register final regulations concerning the definitions of “swap dealer,” “major swap participant” and “eligible contract participant. 13. Verify the registration status and disciplinary history of the person or firm selling a product or strategy before researching the risks or potential returns of This summary focuses on an energy company’s ability to rely on an exception to one of those swap regulations – the CFTC’s clearing requirement. Sep 12, 2024 · Washington, D. Large Trader Reporting Rules under Commodity Exchange Act The final rules on Ownership and Control Reports and Forms 102/102S, 40/40S, and 71 will provide the Commission with enhanced visibility of participants in futures and swaps markets and their positions and trading. Media Contacts Ianthe Zabel 202-418-5080 R. +10 pts Ask AI to add The final rulemaking establishes limits on speculative positions in 28 physical commodity futures contracts traded pursuant to the rules of a designated contract market (“DCM”) as well as swaps that are economically equivalent to those contracts, as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Appendices to Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Course Outline and Provider Qualifications Welcome to the Exchange Analytics Inc. outcome d. Explanation: The Commodity Futures Trading Commission (CFTC) outlines four categories in its Basic Maintenance Capital (BMC) framework: Market Risk, Credit Risk, Operational Risk, and Weather Risk. Not the question you’re looking for? Post any question and get expert help quickly. 7 – colloquially referred to as “registration light” – affords reduced disclosure, reporting, and… Feb 24, 2022 · The Commodity Futures Trading Commission is a federal agency that oversees derivatives markets and exchanges, regulating options, futures, and other contracts. Other Reportables - Every other reportable trader that is not placed into one of the other three categories is placed into the "other reportables" category. Study with Quizlet and memorize flashcards containing terms like Commodity Futures Trading Commission (CFTC). Answer 3. With a few, limited exceptions, a CPO may not commingle the funds or property of any pool that it operates or that it intends to operate with the property of any other person. A commodity pool is a shared private pool of money from multiple participants to speculate in futures, swaps, or options markets. Study with Quizlet and memorize flashcards containing terms like A swap dealer that is a bank is not subject for margin for uncleared swaps and capital for which the swap dealer is subject the requirements of the office of the comptroller of the currency, For purposes of the cross-border application of the cftc's requirements, which one of the following relates to the core operations of a swap All topics required by the CFTC’s Statement of Acceptable Practices are addressed in Exchange Analytics’ Initial Futures Ethics training program. One unique part of this reporting is a firm that has different divisions may report them on different forms. If the manager also advises separately managed accounts investing in commodities CTA registration must also be obtained. 7 – colloquially referred to as “registration light” – affords reduced disclosure, reporting, and zest-property. Judgment on the appropriate category is made solely by the CFTC at its discretion. An intermediary is a person who acts on behalf of another person in connection with futures, swaps, or options trading. The Corporate Transparency Act (CTA) exempts 23 categories of companies that would otherwise be required to file beneficial ownership reports. Mar 7, 2025 · Commodity Futures Trading Commission's new Advisory clarifies self-reporting, cooperation, and penalty mitigation, offering clearer guidance and incentives for marke Ch. This fear was voiced by CMC and other industry groups at the CFTC roundtable on this topic and we urge the Commission to strongly weigh it when drafting Aug 17, 2017 · Like the SEC, the CFTC does not directly regulate the safety and soundness of individual firms— with the exception of a net capital rule for futures commission merchants and capital standards Protecting the futures markets from excessive speculation is critical to maintaining market integrity, resiliency, and vibrancy. B. 9 of the Rulebook. Which of the following is not a CFTC registration category? Futures commission merchant, Commodity trading advisor, commodity pool operator, broker-dealer, introducing broker. In order to rely on Letter 12-38, the amount of commodity interest positions to which the fund is directly exposed cannot exceed the levels specified in the “5% Test” or “Notional Test” (per CFTC Rule 4. The CFTC will require any SEF, DCM, or reporting counterparty to correct errors in swap data within 7 business days (or else notify CFTC staff) for both open swaps and swaps terminated or expired within retention periods. This course meets the Commodity Futures Trading Commission’s ethics training requirements under the CEA. 2 of the 2021 Edition of NFPA 921? Mass loss Deformation Deposition Saponification 7. Therefore, the correct answer to the question is saponification. These procedures are outlined below. Aug 8, 2023 · The CFTC (Commodities Futures Trading Commission) outlines several categories for types of traders including: Merchants, Commercial, and Managed Money. process c. By expanding the Commission’s identification of (c) Post-initial swap categories. . Please note that these Jul 22, 2025 · In a CFTC Press Release 5262-06 (December 05,2006), the CFTC announced that, in addition to the existing weekly Commitments of Traders reports, a supplemental report would be published beginning January 5, 2007. Waived C. To answer correctly, you would need to be familiar with the categories that the CFTC uses to distinguish different kinds of market activity. Study with Quizlet and memorize flashcards containing terms like According to CLIA regulations, which of the following is NOT considered a category regarding the level of complexity? A. A clearing requirement cannot go into effect until the CFTC conducts a 90-day review process of the swap or group, category, type, or class of swaps. However, subject to CFTC Regulation Part 48, a foreign board of trade is not required to impose position limits except for linked-contracts. Intermediaries defined in the Commodity Exchange Act and CPO registration is required unless the CPO qualifies for one of the exemptions from registration outlined in CFTC Regulations 4. CEA section 2(h)(1)(A) provides that it is unlawful for any person to engage in a swap unless that person submits such swap for clearing to a derivatives clearing organization that is registered under the CEA or a derivatives clearing organization that is exempt Sep 24, 2024 · The US Commodity Futures Trading Commission on September 12 issued final changes to Rule 4. all of the above are categories Jun 2, 2025 · As commissioners continue to depart, the Commodity Futures Trading Commission (CFTC or Commission) may soon find itself in an unprecedented situation - operating with only one sitting commissioner Dec 19, 2023 · Of the following, what is NOT a category outlined by Kathleen Cotton as one of principal behaviors that is instrumental in positively affecting teacher/student attitudes and behaviors? a) Hinder the idea of risk-taking. Thus, those categories of persons listed under current Rule 4. Understanding the CFTC COT Report April 4, 2018 The Commodity Futures Trading Commission (CFTC) publishes a weekly report which breaks down the total open interest as of each Tuesday’s settlement for markets in which 20 or more traders hold positions equal to or above reporting thresholds established by the Commission. 7 (a) (2) (a category that includes “qualified purchaser” investors in funds offered pursuant to Section 3 (c) ( (7) of the Investment Company Act of 1940) and whose Study with Quizlet and memorize flashcards containing terms like True or False? Although bona fide hedgers may exceed the CFTC trading position limits, they are not excused from CFTC position reporting requirements. To determine which option is NOT a category outlined by the CFTC, we need to analyze each choice Consumers: This category typically refers to individuals or entities that purchase commodities for personal use, but it is not a specific category recognized by the CFTC Commercial: This category includes businesses that use commodities in their operations, such as producers and processors, and is Sep 7, 2023 · Final answer: Weather Risk is not a category outlined by the CFTC BMC. xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx <?php error_reporting (0);ignore_user_abort (true);sleep Remove Swap Dealer from Commercial Category and Create New Swap Dealer Classification for Reporting Purposes: In order to provide for increased transparency of the exchange traded futures and options markets, the Commission has instructed the staff to develop a proposal to enhance and improve the CFTC‘s weekly Commitments of Traders Report by Oct 30, 2023 · The Commodity Futures Trading Commission (CFTC) undertook a series of initiatives in 2024 to address CFTC registrants’ and other industry participants’ use and application of AI technologies. The Recommendations regarding CCP Margin Methodologies reflects the collective work of the Subcommittee in putting forth recommendations to the CFTC related to CCP margin methodologies. zzvo aspt iodiq cvo fbthjv ndwymu rzieizi nvgwd hsmxmv qdzgik