Industry Oversight Industry Filings The Industry Filings search tool provides access to information about, and submissions by, trading and clearing organizations. Trading Organizations The CFTC regulates two types of trading organizations: Designated Contract Markets and Swap Execution Facilities. Clearing Organizations The CFTC oversees derivatives clearing organizations under the Commodity Exchange Act. Data Repositories Swap Data Repositories provide a central facility for swap data reporting and recordkeeping. Intermediaries Intermediaries act on behalf of other entities/persons in connection with derivatives trading. Market Surveillance The primary purpose of the CFTC's market surveillance program is to identify situations that violate the Commodity Exchange Act or Commission Regulations. Contracts & Products DCMs may list new contracts for trading by filing a written self-certification with the CFTC. Rules & Rule Amendments New rules or rule amendments may be implemented by filing with the Commission. Anti-Money Laundering The Patriot Act requires that financial institutions establish AML Programs.
