Commodity Futures Trading Commission
2026-10-22 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-10-22 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-10-21 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-10-19 · Proposed Rule
Further Definition of “Swap”-Inclusions
Official abstract: Consistent with its jurisdiction over swaps, the Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to further define the term "swap" to explicitly include event contracts, including those based on sports-, politics-, cultural-, and weather- related events (the "Proposal").
Read the original on FederalRegister.gov →
2026-10-19 · Rule
Further Definition of “Swap” To Exclude Casino-Style Gambling Products
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting an interim final rule ("Interim Final Rule") to codify its longstanding position that casino-style gambling products, including wagers placed on sportsbooks and casino games, are excluded from the "swap" definition.
Read the original on FederalRegister.gov →
2026-10-19 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0093, Part 40, Provisions Common to Registered Entities
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on collections of information provided for by Part 40 of the Commission's regulations, Provisions Common to Registered Entities.
Read the original on FederalRegister.gov →
2026-10-13 · Proposed Rule
Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is issuing an advanced notice of proposed rulemaking regarding section 2(c)(2)(D) of the Commodity Exchange Act ("CEA" or "Act") to provide notice and seek public comment on its intent to develop and establish fit-for-purpose rules implementing section 2(c)(2)(D) of the Act with respect to transactions and markets in crypto assets.
Read the original on FederalRegister.gov →
2026-10-06 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-09-22 · Notice
Agency Information Collection Activities: Notice of Intent To Extend
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the extension of information collection requirements provided for by Part 5 of the Commission's regulations under the Commodity Exchange Act ("CEA").
Read the original on FederalRegister.gov →
2026-09-21 · Proposed Rule
Privacy Act Regulations
Official abstract: On May 6, 2026, the Commodity Futures Trading Commission published in the Federal Register a notice of proposed rulemaking ("NPRM"), titled Privacy Act Regulations, to amend its Privacy Act regulations to exempt the CFTC-59 Insider Risk Program Records System of Records from certain provisions of the Privacy Act. The comment period for the Proposed Rule closed on June 5, 2026. The Commission is reopening the comment period for this NPRM for an additional ten days.
Read the original on FederalRegister.gov →
2026-09-16 · Rule
Whistleblower Award Determination
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is amending its rules implementing section 23 of the Commodity Exchange Act ("CEA"). Section 23 of the CEA and the Commission's implementing regulations provide for the payment of awards, subject to certain limitations and conditions, to whistleblowers who provide the Commission with information that aids in successful enforcement efforts. The Commission is adopting amendments, which are modeled on a similar provision in the Securities and Exchange Commission's ("SEC") regulations, to part 165 of its regulations to increase the efficiency, transparency, and predictability of whistleblower claims process, thereby protecting and enhancing the program's effectiveness in incentivizing whistleblowers to report. The amendments also include technical corrections to the whistleblower rules to reflect the Whistleblower Office's ("WBO") move in 2025, consistent with its adjudicatory functions, to the Office of the General Counsel ("OGC").
Read the original on FederalRegister.gov →
2026-09-08 · Rule
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for CAD and MXN Interest Rate Benchmark Transitions
Official abstract: The Commodity Futures Trading Commission (Commission or CFTC) is amending its interest rate swap clearing requirement regulations under applicable provisions of the Commodity Exchange Act (CEA) to address the transition from the Canadian Dollar Offered Rate (CDOR) to the Canadian Overnight Repo Rate Average (CORRA), and the transition from the Mexican Interbank Equilibrium Interest Rate (la Tasa de Inter[eacute]s Interbancaria de Equilibrio, or TIIE by its Spanish acronym) to the TIIE Funding Rate (TIIE de Fondeo or F-TIIE), as benchmark reference rates for interest rate swaps denominated, respectively, in Canadian dollars (CAD) and Mexican pesos (MXN). These transitions are part of an ongoing global effort by market participants, benchmark administrators, regulators, and others to shift away from reliance on certain interbank offered rates (IBORs) that have become unavailable as benchmark reference rates and adopt alternative reference rates, which are predominantly overnight, nearly risk-free reference rates (RFRs). These amendments revise the set of interest rate swaps that are required to be submitted for clearing, pursuant to the CEA and the Commission's regulations, to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from such registration (exempt DCO). The amendments modify the Commission's interest rate swap clearing requirement to reflect the market transitions from swaps referencing CAD CDOR and MXN TIIE to swaps referencing, respectively, CAD CORRA and MXN F-TIIE.
Read the original on FederalRegister.gov →
2026-09-03 · Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
Official abstract: The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") (collectively, "we" or the "Commissions") are further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024, from October 1, 2026, to July 1, 2027. Form PF is the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (a "CPO") or a commodity trading adviser (a "CTA").
Read the original on FederalRegister.gov →
2026-09-01 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-08-26 · Proposed Rule
Swap Execution Facility Order Book Requirement for Permitted Transactions
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") proposes to amend its regulations for swap execution facilities ("SEFs") to remove the requirement for SEFs to offer an order book for swap transactions that are not subject to trade execution requirement under section 2(h)(8) of the Commodity Exchange Act ("CEA" or "Act"). These types of swap transactions are referred to in the Commission's regulations as "permitted transactions."
Read the original on FederalRegister.gov →
2026-08-21 · Proposed Rule
Request for Comment on the Listing of Compute Derivatives Contracts
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is seeking public responses to this Request for Comment to better inform its understanding and oversight of derivatives markets in compute.
Read the original on FederalRegister.gov →
2026-08-21 · Proposed Rule
Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing several amendments to its registration requirements for certain commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") to reduce duplicative and overlapping regulation and reflect inflation ("Proposal"). The Proposal would add an exemption from CPO registration for certain investment advisers registered with the Securities and Exchange Commission ("Registered Investment Advisers" or "RIAs") in relation to commodity pools for which the participants are limited to certain sophisticated investors and which meet other conditions; add a related registration exemption for CTAs; and increase the total gross capital contributions threshold in the CPO registration exemption for small commodity pools (commonly referred to as the "Small Pool Exemption") to account for inflation. The Commission preliminarily intends for the Proposal, if adopted, to supersede certain no-action positions issued by the Commission's Market Participants Division ("MPD").
Read the original on FederalRegister.gov →
2026-08-19 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0059: Part 41, Relating to Security Futures Products
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on collection requirements relating to security futures products.
Read the original on FederalRegister.gov →
2026-08-14 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0005
Official abstract: The Commodity Futures Trading Commission (CFTC or Commission) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act (PRA), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the information collections associated with the rules relating to the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) and monthly reporting by futures commission merchants.
Read the original on FederalRegister.gov →
2026-08-12 · Notice
Renewal of the Innovation Advisory Committee
Official abstract: The Commodity Futures Trading Commission (CFTC or Commission) is publishing this notice to announce the renewal of the Innovation Advisory Committee (IAC). The Commission has determined that the renewal of the IAC is necessary and in the public's interest.
Read the original on FederalRegister.gov →
2026-08-11 · Notice
Innovation Advisory Committee
Official abstract: The Commodity Futures Trading Commission (CFTC) announces that on August 20, 2026, from 1:00 p.m. to 4:00 p.m. Eastern Daylight Time, the Innovation Advisory Committee (IAC or Committee) will hold an in- person meeting for IAC members, with options for the public to attend virtually. At this meeting, the IAC will discuss topics including crypto assets, artificial intelligence, and prediction markets, along with recent CFTC activity in these markets.
Read the original on FederalRegister.gov →
2026-08-06 · Notice
Agency Information Collection Activities: Notice of Intent to Extend Collection 3038-0091: Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral
Official abstract: The Commodity Futures Trading Commission ("Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the proposed extension of the existing collection of information relating to Cleared Swaps Customer Collateral.
Read the original on FederalRegister.gov →
2026-08-06 · Notice
Agency Information Collection Activities: Notice of Intent to Extend Collection 3038-0076: Requirements for Derivatives Clearing Organizations
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the renewal of the information collection that includes reporting requirements for derivatives clearing organizations ("DCOs") under the Commission's regulations.
Read the original on FederalRegister.gov →
2026-08-06 · Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of the collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the "final rules") that the Commission adopted to enhance its identification of futures and swap market participants.
Read the original on FederalRegister.gov →
2026-08-06 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0092, Customer Clearing Documentation and Timing of Acceptance for Clearing
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the extension of information collection requirements relating to the obligation to maintain clearing documentation records between the customer and the customer's clearing member under the Commodity Exchange Act, OMB Control No. 3038-0092 (Customer Clearing Documentation and Timing of Acceptance for Clearing).
Read the original on FederalRegister.gov →
2026-08-06 · Proposed Rule
Conflicts and Affiliations
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is proposing new rules and amendments to its existing regulations for futures commission merchants ("FCMs"), swap execution facilities ("SEFs"), designated contract markets ("DCMs"), and derivatives clearing organizations ("DCOs") (the "Proposal"). The Proposal addresses requirements relating to financial oversight of FCMs by self-regulatory organizations ("SROs") and designated self- regulatory organizations ("DSROs"), as well as disclosure requirements by FCMs regarding affiliate relationships that an FCM has with a SEF, DCM, or DCO. For SEFs, DCMs, and DCOs, the Proposal would also establish requirements, including conflicts of interest rules, to address those registered entities' relationships with certain affiliates, such as FCM affiliates and affiliated principal trading firms. The Proposal includes guidance regarding the implementation of safeguards to protect the impartiality of SEFs, DCMs, and DCOs, including where applicable in their role as SROs or performing SRO functions with respect to certain affiliates. The guidance addresses the sharing of resources including staffing, technology, and office space, and limitations on the sharing of non-public information.
Read the original on FederalRegister.gov →
2026-07-28 · Proposed Rule
Request for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities
Official abstract: On June 25, 2026, the Commodity Futures Trading Commission ("Commission" or "CFTC") published in the Federal Register a request for comment ("RFC") titled "Request for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities." The comment period for the RFC was set to close on July 27, 2026. The Commission is extending the comment period for this RFC by an additional thirty days. In addition to the questions set forth in the RFC, the Commission is further requesting comment on the self- certified 24/7 oil contract listed by Chicago Mercantile Exchange's ("CME's") New York Mercantile Exchange, Inc. ("NYMEX") on July 8, 2026 and that the Commission stayed on July 9, 2026.
Read the original on FederalRegister.gov →
2026-07-28 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection; 3038-0097; Process for Review of Swaps for Mandatory Clearing
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on reporting and recordkeeping requirements relating to information management requirements for derivatives clearing organizations.
Read the original on FederalRegister.gov →
2026-07-21 · Rule
Order Sunsetting Certain Large Trader Reporting Requirements for Physical Commodity Swaps
Official abstract: The Commodity Futures Trading Commission ("CFTC" or the "Commission") is issuing this Order pursuant to Sec. 20.9 of its regulations, the sunset provision of the Commission's large trader reporting rules for physical commodity swaps ("Part 20" or the "Swaps LTR Rules"). Based on the findings set out below, the Commission is rendering the routine position-reporting requirements of Part 20 ineffective and unenforceable, while preserving, pursuant to Sec. 20.9(b), the Commission's authority to require the maintenance and production, on special call, of the underlying books, records, and futures-equivalent conversion methods. As a result, clearing organizations, clearing members, and swap dealers will no longer be required to file the daily and event-based position reports currently required under Part 20.
Read the original on FederalRegister.gov →
2026-07-21 · Notice
Agricultural Advisory Committee
Official abstract: The Commodity Futures Trading Commission (CFTC) announces that on July 29, 2026, from 1:00 p.m. to 4:00 p.m. Eastern Daylight Time, the Agricultural Advisory Committee (AAC or Committee) will hold an in- person public meeting at the CFTC's Washington, DC headquarters, with options for the public to attend virtually. At this meeting, the AAC will discuss: topics related to the Basel III proposal, risk management tools for agricultural end users, 24/7 trading and emerging markets, and recent CFTC activity in the agricultural industry.
Read the original on FederalRegister.gov →
2026-07-21 · Rule
Order Providing Exemptive Relief To Facilitate Listing of Cash-Settled Futures on Individual Equity Securities
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is issuing an order pursuant to the Commodity Exchange Act ("CEA") that provides exemptive relief from the Commission's opening price settlement requirement for security futures products in connection with Chicago Mercantile Exchange Inc.'s ("CME") plans to list cash-settled futures on individual equity securities for trading pursuant to its registration as a designated contract market and notice registration as a national securities exchange.
Read the original on FederalRegister.gov →
2026-07-20 · Notice
Renewal of the Agricultural Advisory Committee
Official abstract: The Commodity Futures Trading Commission (CFTC or Commission) is publishing this notice to announce the renewal of the Agricultural Advisory Committee (AAC). The Commission has determined that the renewal of the AAC is necessary and in the public's interest.
Read the original on FederalRegister.gov →
2026-07-17 · Rule
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Official abstract: The Commodity Futures Trading Commission ("Commission") is amending the margin requirements for uncleared swaps applicable to swap dealers and major swap participants that are not subject to the margin rules of a prudential regulator. The amendment revises the definition of "margin affiliate" in the Commission's regulations to provide that certain collective investment vehicles ("investment funds" or "funds") that receive start-up capital from a sponsor entity ("seeded funds") would be deemed not to have any margin affiliates or to constitute margin affiliates of another entity for the purposes of calculating certain thresholds that trigger the requirement to exchange initial margin for uncleared swaps ("Seeded Funds Amendment"). The Seeded Funds Amendment relieves swap dealers and major swap participants subject to the Commission's uncleared swaps margin rules from the requirement to post and collect initial margin with certain eligible seeded funds for a period of up to three years from the date on which the eligible seeded fund's asset manager begins making investments on behalf of the fund ("trading inception date"). The Commission is also eliminating a provision disqualifying securities issued by certain pooled investment funds ("money market and similar funds") whose asset managers transfer fund assets through securities lending, securities borrowing, repurchase agreements, reverse repurchase agreements, and similar arrangements from being used as eligible initial margin collateral for uncleared swaps, thereby expanding the scope of assets that qualify as eligible collateral ("Eligible Collateral Amendment"). Additionally, the Commission is amending the haircut schedule for eligible margin collateral for uncleared swaps to address the haircuts applicable to money market and similar funds ("Haircut Schedule Amendment").
Read the original on FederalRegister.gov →
2026-07-01 · Proposed Rule
Data Reporting Requirements for Certain Event Contracts
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing revisions to the Commission's regulations that would set forth an alternate framework for reporting of data for certain fully collateralized event contracts (the "Proposal"). These revisions would require certain reporting markets, futures commission merchants, clearing members, and foreign brokers to report certain event contracts pursuant to the regulations in parts 15 through 18 rather than the reporting regulations contained in certain sections of parts 38, 39, 43 and 45.
Read the original on FederalRegister.gov →
2026-06-30 · Proposed Rule
Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives
Official abstract: The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (together, the "Commissions") request public comment on potential ways to further implement portfolio and cross-margining of securities and derivatives that are subject to the jurisdiction of either the SEC or CFTC, or both Commissions.
Read the original on FederalRegister.gov →
2026-06-25 · Rule
Financial Data Transparency Act Joint Data Standards
Official abstract: The OCC, Board, FDIC, NCUA, CFPB, FHFA, CFTC, SEC, and Treasury are publishing a final joint rule to establish data standards to promote interoperability of financial regulatory data across these agencies. The standards established pursuant to this joint rule will later be considered for potential incorporation (to the extent feasible) into data standards to be adopted for certain collections of information in separate rulemakings by the agencies or through other actions taken by the agencies. At the effective date, the joint rule will not change any reporting requirements without further action by the agencies. The agencies are publishing this joint rule as required by the Financial Data Transparency Act of 2022.
Read the original on FederalRegister.gov →
2026-06-25 · Proposed Rule
Request for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities
Official abstract: The Commodity Futures Trading Commission (Commission or CFTC) is requesting public comment on two distinct but related matters arising from recent developments in energy derivatives markets. The first is the extension of standard futures contracts to 24/7 trading, without any change to the contracts' fixed expiration, delivery, or settlement terms. The second is the listing of perpetual contracts that reference physically delivered or storable energy commodities, such as crude oil. The Commission seeks comment on the implications of each matter for the reliability and manipulation-resistance of reference prices, market surveillance and operational readiness, the federal speculative position-limits regime, margin, clearing, and settlement, customer protection, and effects on the underlying physical markets and the commercial participants that rely on them.
Read the original on FederalRegister.gov →
2026-06-24 · Proposed Rule
Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
Official abstract: The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (together, the "Commissions") request public comment on potential ways to draw clearer regulatory lines with respect to innovative products that may implicate both SEC and CFTC regulatory interests. The Commissions also request public comment on potential approaches to enable alternative compliance.
Read the original on FederalRegister.gov →
2026-06-24 · Proposed Rule
Joint Request for Comment on Swap and Security-Based Swap Data Reporting
Official abstract: The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (together, the "Commissions") request public comment on potential changes to the design, scope, and structure of swap and security-based swap data reporting requirements.
Read the original on FederalRegister.gov →
2026-06-18 · Proposed Rule
Request for Information: Identifying Regulations To Facilitate Innovation and Competition to Financial Products and Services for Fintech Firms
Official abstract: Pursuant to its obligations under Executive Order 14405, the Commodity Futures Trading Commission ("Commission") is requesting information (this "RFI") from relevant market participants that will assist the Commission in identifying Commission regulations, guidance documents, orders, no-action letters, and other items that may unduly impede fintech firms from entering into partnerships with financial infrastructures and intermediaries regulated by the Commission (including, whether or not registered with the Commission, futures commission merchants ("FCMs"), introducing brokers ("IBs"), swap dealers ("SDs"), commodity pool operators ("CPOs"), commodity trading advisors ("CTAs"), designated contract markets ("DCMs"), swap execution facilities ("SEFs"), derivatives clearing organizations ("DCOs"), and swap data repositories ("SDRs")), as well as regulations, guidance documents, orders, no-action letters, and other items that could be amended to streamline application processes for eligible fintech firms seeking registrations and authorizations from the Commission, while balancing innovation interests with the importance of safety and soundness, consumer and investor protection, market integrity, financial stability, and oversight.
Read the original on FederalRegister.gov →
2026-06-17 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-06-16 · Notice
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0096, Swap Data Recordkeeping and Reporting Requirements
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of an information collection by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the information collections pertaining to the Commission's swap data recordkeeping and reporting requirements. These rules impose recordkeeping and reporting requirements on the following entities: Swap Dealers ("SDs"), Major Swap Participants ("MSPs"), Swap Execution Facilities ("SEFs"), designated contract markets ("DCMs"), swap data repositories ("SDRs"), derivatives clearing organizations ("DCOs"), and swap counterparties that are neither swap dealers nor major swap participants ("non-SD/MSP counterparties").
Read the original on FederalRegister.gov →
2026-06-15 · Proposed Rule
Whistleblower Award Determination
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing for public comment to amend its rules implementing a section of the Commodity Exchange Act ("CEA"). The relevant section provides, among other things, that the Commission shall pay an award--under regulations prescribed by the Commission and subject to certain limitations--to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the CEA, or regulations thereunder, that leads to the successful enforcement of a covered judicial or administrative action, or a related action. The Commission expects the proposed substantive amendment, which is modeled on a similar provision in the Securities and Exchange Commission's ("SEC's") regulations, to increase the efficiency, transparency, and predictability of whistleblower claims processing, thereby protecting and enhancing the program's effectiveness in incentivizing whistleblowers to report. The Commission is also incorporating technical corrections to the whistleblower rules to update regulatory references to reflect the Whistleblower Office's ("WBO's") move in 2025, consistent with its adjudicatory functions, to the Office of the General Counsel.
Read the original on FederalRegister.gov →
2026-06-12 · Proposed Rule
Prediction Markets; Public Interest Determinations
Official abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing amendments to its rules concerning event contract derivatives. The markets for these event contracts are commonly referred to as "prediction markets." In particular, the Commission is proposing amendments to further specify the types of event contracts that may be subject to a determination that they are contrary to the public interest, such that they may not be listed for trading or accepted for clearing on or through a CFTC-registered entity, as provided in the Commodity Exchange Act (CEA). The proposed amendments set out factors the Commission would apply in that determination and conform the process by which the determination would be made to the CEA. The Commission also is proposing amendments to the procedure for the Commission's determination to enhance clarity and organization, as well as a definition of the term "gaming" and a rule regarding when event contracts "involve" an underlying activity.
Read the original on FederalRegister.gov →
2026-06-11 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-06-11 · Notice
Agency Information Collection Activities under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-06-09 · Notice
Agency Information Collection Activities: Notice of Intent To Request Approval for Collection 3038-0117, Exemption From Derivatives Clearing Organization Registration
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on a proposed information collection by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. This notice announces the intention of the Commission to request approval for Collection 3038-0117, Exemption from Derivatives Clearing Organization Registration.
Read the original on FederalRegister.gov →
2026-06-08 · Rule
Rescission of Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is rescinding a policy contained in an appendix to its regulations concerning acceptance of settlements in administrative and civil proceedings. This policy is commonly understood to limit a respondent's or defendant's ability to deny allegations following settlement.
Read the original on FederalRegister.gov →
2026-06-03 · Notice
Policy Statement Concerning the Listing of Perpetual Contracts
Official abstract: This policy statement describes the views of the Commodity Futures Trading Commission (the "CFTC" or "Commission") concerning the listing of perpetual contracts. Contemporaneously with the issuance of this policy statement, the Commission has issued an order (the "Order") permitting the listing of a perpetual contract that references the spot price of bitcoin by a designated contract market ("DCM") as a futures contract. Given the unique characteristics of perpetual contracts, which tend to vary based on the underlying asset they reference, the Commission is of the view that the case-by-case review process detailed in Commission Regulation 40.3 is appropriate for the listing of perpetual contracts that reference asset classes that are not contemplated in the Order.
Read the original on FederalRegister.gov →
2026-05-22 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden. A Federal Register Notice with a 60-day comment period soliciting comments on the ICR was published on March 5, 2026.
Read the original on FederalRegister.gov →
2026-05-14 · Rule
Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to a Nonbank Swap Dealer Domiciled in the French Republic and Subject to the European Union's Investment Firms Regulation and Investment Firms Directive
Official abstract: The Commodity Futures Trading Commission ("Commission" or "CFTC") is issuing an order regarding an application submitted by Goldman Sachs Paris Inc. et Cie requesting that the Commission determine that the capital and financial reporting laws and regulations of the European Union applicable to a CFTC-registered swap dealer, which is organized and domiciled in the French Republic and subject to the Investment Firms Regulation (EU) 2019/2033 ("IFR") and Investment Firms Directive (EU) 2019/2034 ("IFD") legislative package, provide sufficient bases for an affirmative finding of comparability with respect to the Commission's swap dealer capital and financial reporting requirements adopted under the Commodity Exchange Act. The order provides that a nonbank swap dealer organized and domiciled in the French Republic and subject to the IFR and IFD legislative package may satisfy the capital requirements and the financial reporting rules under the applicable provisions of the Commodity Exchange Act and Commission regulations by complying with certain specified European Union laws and regulations and conditions set forth in the order.
Read the original on FederalRegister.gov →
2026-05-14 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 ("PRA"), this notice announces that the Information Collection Request ("ICR") abstracted below has been forwarded to the Office of Information and Regulatory Affairs ("OIRA"), of the Office of Management and Budget ("OMB"), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-05-14 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-05-12 · Proposed Rule
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps to Account for CAD and MXN Interest Rate Benchmark Transitions
Official abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its interest rate swap clearing requirement regulations adopted under applicable provisions of the Commodity Exchange Act (CEA) to address the transition from the Canadian Dollar Offered Rate (CDOR) to the Canadian Overnight Repo Rate Average (CORRA), and the transition from the Mexican Interbank Equilibrium Interest Rate (la Tasa de Inter[eacute]s Interbancaria de Equilibrio, or TIIE by its Spanish acronym) to the Overnight TIIE Funding Rate (TIIE de Fondeo or F-TIIE), as benchmark reference rates for interest rate swaps denominated, respectively, in Canadian dollars (CAD) and Mexican pesos (MXN). These transitions are part of an ongoing global effort by market participants, benchmark administrators, regulators, and others to shift away from reliance on certain interbank offered rates (IBORs) that are, or are expected to become, unavailable as benchmark reference rates, and increase adoption of alternative reference rates, which are predominantly overnight, nearly risk-free reference rates (RFRs). The proposed amendments would revise the set of interest rate swaps that are required to be submitted for clearing, pursuant to the CEA and the Commission's regulations, to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from such registration (exempt DCO). Among other things, the proposed amendments would modify the Commission's interest rate swap clearing requirement to reflect the market transitions from CAD CDOR to CAD CORRA and from MXN TIIE to MXN F-TIIE.
Read the original on FederalRegister.gov →
2026-05-11 · Rule
Official Seal
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") is adopting a final rule that revises the Commission's regulations to adopt a new seal. This final rule provides a description of the new seal and its image.
Read the original on FederalRegister.gov →
2026-05-06 · Proposed Rule
Privacy Act Regulations
Official abstract: The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new Insider Risk Program, the records of which are included in a new Privacy Act system of records, CFTC-59, Insider Risk Program Records (CFTC-59), published concurrently in this Federal Register. The Commission proposes here to update its regulations to exempt CFTC-59 from certain provisions of the Privacy Act in accordance with the requirements of the Privacy Act and the guidance contained in Office of Management and Budget (OMB) Circular A-108, Federal Agency Responsibilities for Review, Reporting, and Publication Under the Privacy Act (OMB A-108) in order to maintain the integrity of insider risk investigations and to keep confidential the identity of confidential sources. If the Commission adopts this proposal, the records in CFTC-59 will be exempt from those provisions of the Privacy Act pertaining to an individual's right to access and request amendment of their records.
Read the original on FederalRegister.gov →
2026-05-06 · Notice
Privacy Act of 1974; System of Records
Official abstract: In accordance with the Privacy Act of 1974, the Commodity Futures Trading Commission (CFTC or Commission) is establishing a new Privacy Act system of records titled "CFTC-59, Insider Risk Program Records." This system of records contains information that the Commission collects, maintains, and uses to administer its Insider Risk program and to detect, deter, and mitigate risks to individuals, facilities, information, equipment, networks, and systems within the CFTC. This newly established system of records will be included in the CFTC's inventory of record systems.
Read the original on FederalRegister.gov →
2026-05-05 · Notice
Review of the Commitments of Traders Reporting Program
Official abstract: The Commodity Futures Trading Commission ("CFTC" or "Commission") throughout its history has published a version of a Commitments of Traders Reports that shows aggregate trader positions in certain futures and options markets. The CFTC periodically reviews the Commitments of Traders Reports in an effort to ensure that it continues to provide the public with useful market information and evolves to meet changing market conditions. The Commission is issuing this request for comment to solicit public input regarding the Commitments of Traders Reports, including the frequency of publication and content of the reports.
Read the original on FederalRegister.gov →
2026-05-01 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →
2026-05-01 · Notice
Agency Information Collection Activities Under OMB Review
Official abstract: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Read the original on FederalRegister.gov →