Category: Accountability Limits and Hedge Exemptions

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Buy-Side Reminder: Electronic Filing of CFTC Form 40 Begins at Midnight on November 18th

On your list of things for which to be thankful, remember to add “the ability to electronically file a CFTC Form 40 / 40S”. Here is a very courteous reminder from the CFTC’s Division of Market Oversight that the new era of submitting electronic Form 40 is about to begin. In case some readers do not … Continue Reading

Attention Energy Traders: CFTC Focuses on Verification of Position Limit Exemptions for Hedging and Risk Management Transactions

Compliance and trading professionals of firms that trade energy derivatives over NYMEX and COMEX should be aware of a recent development related to hedging, risk management, and arbitrage/spread position exemptions from position limits under Rule 559 (Position Limits and Exemptions).… Continue Reading
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