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  • Concurring Statement Of CFTC Commissioner Dan M. Berkovitz Regarding In Re Sukarne SA de CV, CFTC No. 20-60

    Date 18/09/2020

    I support the Commission’s Order sanctioning Sukarne for exceeding the Chicago Mercantile Exchange’s spot month position limit in the June 2020 live cattle futures contact (Order).  This action reflects the CFTC’s commitment to monitoring derivatives trading, particularly in markets such as livestock futures that are experiencing historic volatility.  Where appropriate, the Commission will enforce federal and exchange-set position limits, which are critical to prevent unwarranted price volatility and market manipulation. 

  • Nadex Refrains From Listing Certain Contracts

    Date 18/09/2020

    Due to activity in the underlying markets upon which the Nadex contracts are based and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex took the following actions: 

    • No EUR/JPY, GBP/JPY, GBP/USD, or USD/CAD 5-Minute Intraday Currency Binary contracts were listed for the 6:05pm or 6:10pm expiration times on trade date September 14, 2020;

    • No GBP/JPY 5-Minute Intraday Currency Binary contracts were listed for the 6:05pm ET expiration time on trade date September 16, 2020;

    • No GBP/JPY or GBP/USD 5-Minute Intraday Currency Binary contracts were listed for the 6:05pm ET expiration time on trade date September 18, 2020.


  • U.S. Department Of The Treasury Financial Stability Oversight Council Update

    Date 18/09/2020

    On Friday, September 25, Secretary Steven T. Mnuchin will preside over a meeting of the Financial Stability Oversight Council (Council) via telephone.  The agenda will include both an open and an executive session.  The preliminary agenda for the open session includes secondary mortgage market activities and the Council’s fiscal year 2021 budget.  The preliminary agenda for the executive session includes secondary mortgage market activities, the Council’s 2020 annual report, and short-term wholesale funding markets.*

  • Nadex Halts Contracts

    Date 18/09/2020

    Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and section §40.6(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) submitted an emergency action to the Commission on September 18, 2020 providing notice that on trade date September 17, 2020 a technical issue occurred which resulted in stale quotes displaying in certain markets.  In accordance with the authority granted under Nadex Rule 12.1(h), the affected contracts were closed for trading.  The issue was corrected and contracts were relisted at approximately 10:50am ET on September 17, 2020.

  • CFTC Grants Nasdaq Futures, Inc. Request To Vacate DCM Designation

    Date 18/09/2020

    The Commodity Futures Trading Commission announced today that it issued an order vacating the designation of Nasdaq Futures, Inc. (NFX) as a designated contract market (DCM). The order was issued at the request of NFX. The CFTC had granted NFX designation as a contract market on November 21, 2014.

  • Canadian Securities Regulators Publish Liquidity Risk Management Guidance For Investment Fund Managers

    Date 18/09/2020

    The Canadian Securities Administrators (CSA) today published guidance to help investment fund managers develop and maintain effective liquidity risk management frameworks for investment funds. 


  • Report From FINRA Board of Governors Meeting – September 2020 - Board Approves Two Rulemaking Items, Meets With External Stakeholder

    Date 18/09/2020

    FINRA’s Board of Governors met virtually on September 9 and 10. During the meeting, the Board approved two rulemaking items, and received updates on FINRA’s operations, including the Examination and Risk Monitoring Program Transformation and the Market Regulation Enforcement program.

  • CFTC Commitments Of Traders Update

    Date 18/09/2020

    The current reports for the week of September 15, 2020 are now available.

  • Federal Reserve Board Updates Frequently Asked Questions To Clarify The Board And Department Of Treasury’s Expectations Regarding Lender Underwriting For The Main Street Lending Program

    Date 18/09/2020

    The Federal Reserve Board on Friday updated its frequently asked questions (FAQs) to clarify the Board and Department of Treasury's expectations regarding lender underwriting for the Main Street Lending Program. The revised FAQs emphasize that lender underwriting should look back to the borrower's pre-pandemic condition and forward to their post-pandemic prospects. The FAQs also clarify supervisory expectations for lenders originating Main Street loans.

  • CFTC Chairman Tarbert In WSJ: A New Pact Will Help Derivatives Markets

    Date 18/09/2020

    Excerpts from Chairman Tarbert’s Op-ed with the EU’s Valdis Dombrovskis in the Wall Street Journal

    “As leaders of the commissions that regulate derivatives markets in the EU and U.S., we are both committed to establishing a harmonious relationship that achieves shared regulatory objectives while affording appropriate deference to home-country authorities.