시장 규제 · 2026. 4. 21.
미국 재정성과 재정제도 위원회 (SEC)가 Form N-Q의 확장에 대한 comment 요청을 발표합니다.
미국 재정성과 재정제도 위원회 (SEC)가 Form N-Q의 확장에 대한 comment 요청을 발표했습니다. Form N-Q는 công ty가 재무 báo cáo를 제공하는 방법에 대한 지침을 제공하는 설문조사입니다.
원본 출처 언어: Federal Register — SEC원문 발표 열기 →
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6시장 규제 · 2026. 9. 8.
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
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 deri
요약 읽기 →시장 규제 · 2026. 9. 3.
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
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").
요약 읽기 →시장 규제 · 2026. 9. 1.
Agency Information Collection Activities Under OMB Review
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.
요약 읽기 →시장 규제 · 2026. 8. 26.
Swap Execution Facility Order Book Requirement for Permitted Transactions
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."
요약 읽기 →시장 규제 · 2026. 8. 21.
Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools
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").
요약 읽기 →시장 규제 · 2026. 8. 21.
Request for Comment on the Listing of Compute Derivatives Contracts
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.
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