Dodd-Frank Staff Guidance, Advisories & Questions
The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Staff of the CFTC is in the process of responding to questions and answers and other requests regarding rules issued under Dodd-Frank.
View Dodd-Frank Final Rules and Orders
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Currently Effective Staff Letters
Expired Dodd-Frank Staff No-Action Letters
Staff Guidance, Advisories, and Questions and Answers
| Publication Date |
Guidance, Questions and Answers |
| 03/03/2016 | Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| 11/20/2015 | Frequently Asked Questions (FAQs)Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| 11/05/2015 | Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions (FAQs) Regarding Commission Forms CPO-PQR and CTA-PR |
| 09/25/2015 | Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| 07/16/2015 | Frequently Asked Question (FAQ) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| 06/12/2015 | Frequently Asked Questions (FAQs) Regarding Certain Requirements under Section 13 of the Bank Holding Company Act of 1956 and Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| 03/23/2015 | Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule. 17 CFR Parts 15, 17, 18 and 20; Advisories; Other Written Communication 15-14 |
| 02/27/2015 | |
| 01/29/2015 | |
| 12/23/2014 | |
| 11/13/2014 | |
| 09/10/2014 | |
| 06/09/2014 | |
| 02/10/2014 | |
| 12/23/2013 |
Staff Advisory Concerning Commodity Trading Advisors and Swaps |
| 11/15/2013 |
Staff Guidance on Swap Execution Facilities and Application of Certain Commission Regulations |
| 11/14/2013 |
Division Of Swap Dealer And Intermediary Oversight Advisory: Applicability of Transaction-Level Requirements to Activity in the United States |
| 11/14/2013 |
Staff Guidance on Swap Execution Facilities Impartial Access |
| 09/30/2013 | |
| 09/30/2013 | |
| 09/26/2013 | |
| 06/07/2013 |
Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities. |
| 05/08/2013 |
Reporting Block Trade Volume Data Pursuant to Commission Regulation 16.01. |
| 05/08/2013 | Obligation of Reportable Market Participants to File CFTC Form 304 Reports for Call Cotton in a Timely Manner as Required by Commission Regulation 19.02. Regulation 19.02; No-Action; Other Written Communication 13-14 |
|
04/29/2013 |
Interpretation of Commission Regulation 1.73(a)(2)(iv). |
| 03/22/2013 | |
| 03/15/2013 | |
| 02/26/2013 |
Filing of Annual Reports of the Chief Compliance Officer. |
| 11/29/2012 |
Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps - Revised |
| 11/14/2012 | |
| 11/01/2012 | Staff Interpretation Regarding Part 22. Part 22; Interpretation 12-31 |
| 10/17/2012 |
Division of Clearing and Risk staff issued an interpretation providing clarification that while regulation 22.2(d) prohibits an FCM from permitting a lien on Cleared Swaps Customer Collateral that it holds, regulation 22.2(d) does not prohibit a Cleared Swaps Customer from granting a lien on his or her own account at the FCM, nor does the regulation prohibit the FCM from taking action to foster the Cleared Swaps Customer’s grant of such a lien. |
| 10/16/2012 | |
| 10/12/2012 | |
| 10/12/2012 |
Interpretation of Bona Fide Hedging in Commission Regulation 4.5: Restatement of Terms Incorporated by Reference. |
| 10/11/2012 |
The Division of Swap Dealer and Intermediary Oversight issued an interpretative letter excluding certain securitization vehicles from the definition of commodity pool, subject to certain conditions. |
| 10/11/2012 |
Request for Interpretation of the Definition of “Commodity Pool” under Section 1a(10) of the Commodity Exchange Act. |
| 10/09/2012 | |
| 09/12/2012 |
Staff interpretation of Commission Regulation 39.13(g)(8)(ii). |
| 09/10/2012 | |
| 8/14/2012 | |
| 8/17/2011 | Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps |