- Information
Technology - Customer
Protection
Commissioners- Inspector
General - Industry
Regulation- The Commission and the Industry We Regulate
- Industry Growth in Volume, Globalization and Complexity
- Growth in Volume of Futures and Option Contracts Traded
- Estimated Annual Swap Event Volume
- Actively Traded Futures and Option Contracts
- Notional Value of Futures/Option Open Contracts
- Notional Value of Exchange-Traded and OTC Contracts
- Customer Funds in Futures Commission Merchants Accounts
- Aggregate Sum of House Origin Margin on Deposit
- Number of Registrants
- Contract Markets Designated by the CFTC
- Number of DCOs Registered with the CFTC
- Exempt Markets
- Industry
Trends- Industry Trends and CFTC Resource Requirements
- Industry Trend 1: Swap Markets are Increasingly Operating Under the Dodd-Frank Regulatory Framework
- Industry Trend 2: Increased Number of Market Participants is Driving Innovation in Derivatives Trading
- Industry Trend 3: Intermediaries are Investing in New Business Processes and Technology
- Industry Trend 4: Heightened Risk Management Practices Seek to Lower Institutional Risk at Clearinghouses
- Industry Trend 5: Market Participants Need to Manage Large Volumes of Data in Order to Adapt to Evolving Derivatives Environment
- Resources
by Goal - Privacy
Policy
Acronyms
Appendix 3. The Commission and the Industry We Regulate
Exempt Markets
Exempt markets were exempted from most requirements of the CEA and most CFTC regulatory oversight prior to the Dodd-Frank Act. Exempt markets are not registered with, or designated, recognized, licensed or approved by the CFTC, and they are prohibited from representing that they are registered, designated, or recognized by the CFTC in any way.
Although the Dodd-Frank Act repealed the provision of the CEA, under which exempt markets operate, EBOTs and ECMs may continue to operate pursuant to the no-action relief granted in CFTC No-Action Letter 12-48 (December 11, 2012).
| Exempt Markets | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 |
|---|---|---|---|---|---|---|
| Exempt Boards of Trade (EBOTs) | 10 | 11 | 10 | 14 | 21 | 34 |
| Exempt Commercial Markets (ECMs) | 19 | 20 | 27 | 23 | 20 | 27 |
