CFTC Rule 23.203
The rule requires that each office keeps a list, by name or title, of each person who can explain the types of records maintained in the office and the information contained in those records.
The records must be maintained in accordance with CFTC Rule 1.31
Swap data records must be maintained in accordance with CFTC Rule 45.2
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Crypto wrap: Regulatory clarity on security status, prediction platforms target insider trading
Our pick of the latest crypto stories.
Carmen Cracknell1 min read
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Use of crypto as derivatives collateral outlined in CFTC factsheet
Guidance keeps limits on uncleared swaps, applies haircuts, and requires FCMs to meet reporting and operational requirements under a no-action pathway.
Alexander Barzacanos1 min read
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Bipartisan bill seeks to ban sports bets on prediction markets
The bill, "The Prediction Markets Are Gambling Act," would clarify that, under US law, no CFTC-registered entity can list a contract that closely resembles a sports bet or a casino-style game.
Julie DiMauro2 min read
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CFTC and Division of Market Oversight issue releases on prediction markets and event contracts
A look at how the current administration intends to regulate event contracts and prediction markets.
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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SEC and CFTC act ahead of Congress with joint crypto guidance
The guidance says most digital assets are not securities but stops short of creating a full market framework.
Alexander Barzacanos3 min read
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SEC, CFTC sign cooperation memo
The agreement replaces the agencies’ 2018 memorandum and sets out updated procedures for how they can work better together, and apart, from one another.
Alexander Barzacanos2 min read
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Atkins discusses CFTC-SEC harmonization and regulatory simplification
Atkins called for non-duplicative SEC-CFTC oversight and more straightforward approval of new products.
Alexander Barzacanos2 min read
