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  • Statement Of CFTC Commissioner Kristin N. Johnson: Dissenting Statement On Incomplete Conflicts Of Interest Rules, Lack Of Vertical Integration Rules, And Equity Transfer Rules

    Date 21/02/2024

    I dissent from today’s conflicts of interest and equity ownership transfer proposal (Proposed Rule). For nearly two years, in Commodity Futures Trading Commission (Commission or CFTC) public meetings, speeches, and engaged conversations with my fellow Commissioners, staff, and diverse market participants, I have advocated for the Commission to address two critical gaps in our regulations: incomplete and disparate conflicts of interest rules as well as Commission rules governing the transfer of ownership interests of a registered entity.

  • Statement Of CFTC Commissioner Caroline D. Pham In Support Of Foreign Board Of Trade Proposal

    Date 20/02/2024

    I support the Notice of Proposed Rulemaking on Foreign Boards of Trade (FBOT) (Proposed FBOT Amendments or Proposal) because it promotes access to markets for U.S. participants, competition, and liquidity.  I would like to thank Maura Dundon, Roger Smith, and Alexandros Stamoulis in the CFTC’s Division of Market Oversight for their work on the Proposal.  I especially appreciate their efforts to work with me and include my revisions.

  • Statement Of CFTC Commissioner Caroline D. Pham In Support Of The Treatment Of Separate Accounts Proposal

    Date 20/02/2024

    I support the Notice of Proposed Rulemaking on the Regulations to Address Margin Adequacy and to Account for the Treatment of Separate Accounts by Futures Commission Merchants (FCMs) (Treatment of Separate Accounts Proposal or NPRM), as well as the Commission’s withdrawal of the first proposal on this issue (2023 Proposal).  Today’s Treatment of Separate Accounts Proposal gets the Commission closer to the pragmatic approach it was striving for in the 2023 Proposal.  To help ensure the Commission truly gets there in the final rule, I highlight specific areas for public comment below.

  • Statement Of CFTC Commissioner Christy Goldsmith Romero On The Importance Of Strong Rules For Conflicts Of Interest At Exchanges And Swap Execution Facilities

    Date 20/02/2024

    Conflicts of interest at exchanges and swap execution facilities (SEFs) present serious risk to market fairness, integrity, and financial stability.  The CFTC plays a critical role in implementing strong rules to prevent conflicts from hurting customers, markets, market participants, and end users.  As designated self-regulatory organizations, exchanges serve as the front line for market integrity.[1]  And given the contribution to the financial crisis of opaque caveat emptor swaps markets,[2] the Dodd-Frank Act created SEFs and gave them important regulatory responsibilities to ensure transparency in the swaps markets.[3]  In order for markets to function well and fairly, these important regulatory responsibilities must be performed free of conflicts of interest.

  • Statement Of CFTC Commissioner Christy Goldsmith Romero On Proposed Rule Changing Post-Dodd Frank Act Reforms To Allow Direct Access Of U.S. Customers To Foreign Boards Of Trade Through Introducing Brokers

    Date 20/02/2024

    The CFTC is proposing to change a post-Dodd Frank Act reform to issue a rule that permits CFTC-registered foreign boards of trade to have direct access to U.S. customers through introducing brokers. The Dodd-Frank Act defines direct access to mean an explicit grant of authority by a foreign board of trade to identified members or other participants located in the United States to enter trades directly into the trade matching engine of the foreign board of trade.  As described in the open Commission meeting on the final rule, “By adopting uniform application procedures and registration requirements and conditions, the process by which foreign boards of trade are permitted to provide direct access to their trading systems will become more standardized, more transparent to both registration applicants and the general public, and will promote fair and consistent treatment of all applicants.”

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