Foreign Part 30 Exemptions

In response to inquiries regarding the requirements of and permissions afforded recipients of relief under Section 30.10 of the CFTC's rules, the Market Participants Division (MPD) seeks to provide useful guidance on commonly-encountered situations.

Pursuant to CFTC Regulation 30.10, persons located outside the U.S., who are subject to a comparable regulatory framework in the country in which they are located, may seek an exemption from the application of certain Commission regulations, including those with respect to registration.

The standard Regulation 30.10 order issued to a foreign regulator or foreign exchange, permits approved foreign firms to solicit and accept orders from U.S. customers for otherwise permitted transactions on those exchanges located within the foreign regulator’s jurisdiction or subject to the rules of the foreign exchange, as appropriate, without having to register with the Commission. A foreign regulator or foreign exchange may petition the Commission to extend its Regulation 30.10 relief (i.e., “Extended relief”) to allow foreign firms subject to the comparable regulatory program to solicit and accept orders from U.S. customers for otherwise permitted transactions on any non-U.S. exchange authorized by local law or regulation.

The Market Participants Division directs individuals interested in learning more about the offering of foreign futures and options to the following Commission resources, which answer several common questions.

Please note that Regulation 30.10 orders typically become effective upon publication in the Federal Register.

For more information regarding this chart, please contact the Market Participants Division.

Search Foreign Part 30 Exemptions using the following criteria
Reset
Organization Country Intial/Amendment Relief Requested Description Status Date Remarks Documents
Bombay Stock Exchange Limited India I G Initial request for General Relief. 85 Fed. Reg. 84769 (November 24, 2020) Order Issued Granting 11/02/2020 . 0
Hong Kong Securities and Futures Commission Hong Kong I G Initial request for General Relief. 80 Fed. Reg. 15680 (March 25, 2015) Order Issued Granting 03/19/2015 0
National Stock Exchange of India IFSC India I G Initial request for General relief. 85 Fed. Reg. 74861 (November 24, 2020). Order Issued Granting 11/26/2018 0
UBS AG Switzerland I G Initial request for General Relief. 85 Fed. Reg. 74868 (November 24, 2020). Order Issued Granting 11/02/2020 This is the first time that the Commission has issued an Order pursuant to Regulation 30.10 to a specific firm. 0
Moscow Exchange Russian Federation I G Request for exemption pursuant to Commission Regulation on behalf of designated members of MOEX Pending 02/16/2018 0
NZX Limited New Zealand I G Initial request for General relief. 85 Fed. Reg. 74867 (November 24, 2020) Order Issued Granting 11/02/2020 0
National Stock Exchange of India India I G Request for exemption pursuant to Commission Regulation 30.10 on behalf of designated members of NSE Order Issued Granting 05/17/2018 0
Tokyo Financial Exchange, Inc. Japan I G Initial Request for General relief. 73 Fed. Reg. 60625 (October 14, 2008) Order Issued Granting 10/08/2008 1
Korea Exchange Korea, Republic Of I G Initial Request for General Relief. 81 Fed. Reg. 7204 (February 11, 2016) Order Issued Granting 02/08/2016 1
Singapore Exchange Derivatives Trading Limited Singapore A E Amended request for Extended relief. 72 Fed. Reg. 50645 (September 4, 2007) Order Issued Granting 08/24/2007 Note - Initial request for General relief: 54 Fed. Reg. 806 (Jan. 10, 1989); Order Issued Granting; 12/30/1988. Amended request for extended relief: 64 Fed. Reg. 50248 (Sept. 16, 1999); Order Issued Granting; 9/9/1999, but superseded by 2007 Order. The 2007 Order also extended 30.10 relief to include all otherwise permitted transactions as permitted by Singapore law. Please note that the alternative secured account requirement set forth in 65 Fed. Reg. 60560 (October 11, 2000) applies. 1
Bursa Malaysia Derivatives Bhd Malaysia I G Initial request for General Relief. 75 Fed. Reg. 35291 (June 22, 2010) Order Issued Granting 06/15/2010 1
MEFF AIAF SENAF Holding de Mercados S.A. Spain I G Initial request for General Relief. 60 Fed. Reg. 30462 (June 9, 1995) Order Issued Granting 06/05/1995 Relief issuedwith respect to MEFF Renta Fija products. 1
B3 S.A. - Brasil, Bolsa, Balcao Brazil I G Initial request for General relief. 67 Fed. Reg. 45056 (July 8, 2002) Order Issued Granting 06/28/2002 The Order was issued to the Bolsa de Mercadorias & Futuros (BM&F). BM&F changed its name to B3 in July 2017. 1
ICE Futures Canada, Inc. Canada I G Initial request for General relief. 66 Fed. Reg. 27859 (May 21, 2001) Deemed Withdrawn 07/27/2018 Formerly known as The Winnipeg Commodity Exchange, Inc., renamed effective January 1, 2008. ICE Futures Canada ceased operations on July 27, 2018. 1
Eurex Deutschland Germany I E Initial request for Extended relief. 67 Fed. Reg. 30785 (May 8, 2002) Order Issued Granting 04/29/2002 1
Financial Services Authority United Kingdom A E Amended request for Extended relief. This order consolidated and updated the relief set forth in prior orders issued to the AFBD, IMRO, SFA, SIB and TSA. 68 Fed. Reg. 58583 (October 10, 2003) Order Issued Granting 09/30/2003 1
Marche a Terme International de France France I G Initial request for General relief. 55 Fed. Reg. 23902 (June 13, 1990) Order Issued Granting 06/06/1990 As set forth in the Federal Register release, the Commission entered into a Mutual Recognition Memorandum of Understanding (MRMOU) with the French Commission Operations de Bourse (COB) to address, among other issues, Reg. 30.10 relief applicable to French firms trading on MATIF. As of August 1, 2003, the Autorite des Marches Financiers (AMF) succeeded the COB as the French counterpart to the MRMOU. 1
MEFF AIAF SENAF Holding de Mercados S.A. Spain I G Initial Request for General Relief. 62 Fed. Reg. 16687 (April 8, 1997) Order Issued Granting 04/01/1997 Relief issued with respect to MEFF Renta Variable products. 1
Tokyo Commodity Exchange Japan I G Initial request for General relief. 71 Fed. Reg. 6759 (February 9, 2006) Order Issued Granting 02/06/2006 1
Taiwan Futures Exchange Taiwan, Province Of China I G Initial request for General relief. 72 Fed. Reg. 14413 (March 28, 2007) Order Issued Granting 03/23/2007 1
Montreal Exchange Canada A E Amended request for Extended relief. 85 Fed. Reg. 74872 (November 24, 2020). Order Issued Granting 02/21/1997 Note - Initial request for General relief. 54 Fed. Reg. 11179 (March 17, 1989). Order Issued Granting on 03/14/1989. Order issued Granting amendments on Fed. Reg. 8875 (February 27, 1997). Most recent amendment accounts for changes to Canadian law and regulation regarding the segregation of customer funds. 2
Australian Securities Exchange Australia A E Amended request for Extended relief. 71 Fed. Reg. 40395 (July 17, 2006) Order Issued Granting 07/11/2006 The relief is updated to reflect changes to the Australian Financial Services Reform Act. Note - Initial request for extended relief. 53 Fed. Reg. 44856 (Nov. 7, 1988); Order Issued Granting; 11/01/1988. Amended request for Extended Relief. 58 Fed. Feg. 19209 (April 13, 1993). Order Issued Granting; 04/09/1993. Amended request for extended relief. 62 Fed. Reg. 10445 (March 7, 1997); Order Issued Granting; 03/03/1997. 2
Singapore International Monetary Exchange Singapore A E Amended request for Extended relief. 64 Fed. Reg. 50248 (September 16, 1999). Order Issued Granting 09/09/1999 Please note that the alternative secured account requirement set forth in the order has been revised. 65 Fed. Reg. 60560 (October 11, 2000). Also, please note that this order has been superseded by the Singapore Exchange Derivatives Trading Limited September 4, 2007 order. Note - Initial request for General relief. 54 Fed. Reg. 806 (Jan. 10, 1989); Order Issued Granting; 12/30/1988. 2