Publications & Filings
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FIA and CMC petition CFTC to amend OCR Rule
On June 14, the Futures Industry Association and the Commodity Markets Council submitted a petition asking the Commodity Futures Trading Commission to amend the Ownership and Control Reports Rule.
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FIA Special Report: CFTC Advances Several Rulemakings
In its first open meeting since 2016, the Commodity Futures Trading Commission met on June 4 to advance several rulemakings.
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FIA and ISDA submit joint response to ESA Consultation
On 23 January, FIA and ISDA (the Associations) submitted feedback on the European Commission’s (Commission) published Draft Implementing Regulation on the operations of the European Supervisory Authorities (ESAs) and the proposed supervisory framework.
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CFTC relief allows consolidated risk disclosure statements
The CFTC's division of swap dealer and intermediary oversight on Nov. 30 issued no-action relief to FCMs and introducing brokers that streamlines the process for providing risk disclosure statements to non-institutional customers.
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CFTC source code proposal raises grave concerns
FIA, along with the FIA Principal Traders Group (FIA PTG), expressed grave concerns regarding a critically important provision in the CFTC’s proposed supplement to its draft rules on automated trading.
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FIA co-signs a letter calling for a delay on the PRIIPs Regulation
On 17 October, FIA co-signed a letter with the Joint Associations Committee (JAC), the International Swaps and Derivatives Association (ISDA), the Global Foreign Exchange Division of the Global Financial Markets Association (GFMA), and the International Capital Market Association (ICMA), calling for a delay of the PRIIPs Regulation by one year to 3 January 2018 as the only viable option that allows for the effective implementation of the PRIIPs Regulation.
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FIA submits Market Abuse Regulation response
FIA submitted its response jointly with the International Swaps and Derivatives Association to ESMA’s consultation on guidelines on information required or reasonably expected to be disclosed on commodity derivatives markets or related spot contracts under Art 7 (5) of the Market Abuse Regulation.
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FIA responds to ESMA guidelines on transaction reporting under MiFIR
FIA has submitted its response to ESMA’s Consultation Paper on “Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation."
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FIA Requests Confirmation of Interpretation of CFTC Rule 1.73 Regarding SEFs and Bunched Orders
FIA writes to the Division of Clearing and Risk on behalf of its member futures commission merchants (“FCMs”) to request confirmation of certain rule interpretations with respect to CFTC Rule 1.73.
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Commodity Futures Trading Commission Rule 1.74 Request for Safe Harbor
Commodity Futures Trading Commission Rule 1.74 Request for Safe Harbor
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