Commodity Futures Trading Commission September 18, 2008 – Federal Register Recent Federal Regulation Documents
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Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is re-proposing a number of amendments to its rules, guidance and acceptable practices, initially proposed on July 1, 2004,\1\ concerning trading off the centralized market, including the addition of guidance on contract market block trading rules and exchanges of futures for commodities or derivatives positions. The Commission is re- proposing these amendments and requesting comment as part of its continuing efforts to update its regulations in light of the Commodity Futures Modernization Act of 2000 (``CFMA'').
Exemption From Registration for Certain Firms With Regulation 30.10 Relief
The Commodity Futures Trading Commission (``Commission'') has amended the regulation concerning the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivatives transaction execution facilities (``DTEFs'').\1\ The amended regulation codifies past actions of the Commission's staff to permit certain foreign firms that have confirmed relief from registration as futures commission merchants (``FCMs'') in accordance with the regulations to introduce to registered FCMs certain U.S. customers in connection with trading futures and commodity options listed on, or subject to the rules of, a U.S. DCM or DTEF without having to register as an introducing broker (``IB'') pursuant to Section 4d of the Commodity Exchange Act (``Act''). The Commission also has revoked the regulation regarding quarterly reporting requirements for foreign futures and foreign options transactions.
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