Videos
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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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Letter from ESMA to the FOA on ETD reporting
Letter from ESMA to the FOA on ETD reporting
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FOA response to FSA's CP12/22: Client assets regime: Part II & III
FOA response to FSA's CP12/22: Client assets regime: Part II & III
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Request for no-action relief from compliance with certain requirements of CFTC regulation 3.3 relating to the form and content of the annual report
Request for no-action relief from compliance with certain requirements of CFTC regulation 3.3 relating to the form and content of the annual report
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Letter to Commissioner Sommers Re: Definition of a "US Person"
Letter to Commissioner Sommers Re: Definition of a "US Person"
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FOA response to the Consultation Paper on Exemption for market making activities
FOA response to the Consultation Paper on Exemption for market making activities
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Response to Proposed Amendment to CFTC Large Trade Reporting Rules
Response to Proposed Amendment to CFTC Large Trade Reporting Rules
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FOA Guidance on Systems and Controls for Electronic Trading Environments
FOA Guidance on Systems and Controls for Electronic Trading Environments
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FIA issues guidance on systems and controls for electronic trading environments
This document supports and seeks to provide more detailed guidance on the implementation of, amongst other things, the ‘Guidelines on systems and controls in an automated trading environment’ (ESMA Guidelines).
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CFTC Grants Certain Relief for Rule 1.73
CFTC staff granted an extension of time to comply with certain provisions of the clearing member risk management rule, Rule 1.73, which is scheduled to go into effect on October 1, 2012.
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