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 chart below refers to those exemptive orders issued by the Commission pursuant to this regulation.
The standard Regulation 30.10 order issued to a foreign regulator or foreign exchange, described in the chart below as “General relief,” permits approved foreign firms to solicit and accept orders from U.S. customers for otherwise permitted transactions on those exchanges located within the foreign regulators 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.
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 Division of Swap Dealer and Intermediary Oversight.
|Initial or Amendment:|
|Your query is: [Organization: ALL] AND [Initial or Amendment: ALL] AND [Relief Requested: ALL] AND [Country: ALL] AND [Status: ALL] AND [Date From: To: ]|
|The results for the query dated : 4/23/2014 5:01:37 PM are:|
|Organization||Country||Filing Description||Status||Date||Remarks||Associated Documents|
|BM&F Bovespa S.A. - Bolsa de Valores, Mercadorias & Futuros||Brazil||Initial request for General relief. 67 Fed. Reg. 45056 (July 8, 2002)||Order Issued Granting||06/28/2002||1|
|Bursa Malaysia Derivatives Bhd||Malaysia||Initial request for general relief. 75 Fed. Reg. 35291 (June 22, 2010)||Order Issued Granting||06/15/2010||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 Also, please note that this order has been superseded by the Singapore Exchange Derivatives Trading Limited September 4, 2007 order.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.||1|
|Eurex Deutschland||Germany||Initial request for Extended relief. 67 Fed. Reg. 30785 (May 8, 2002)||Order Issued Granting||04/29/2002||1|
|Financial Services Authority||United Kingdom||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|
|Hong Kong Securities and Futures Commission||Hong Kong||Request for exemption pursuant to Commission Regulation 30.10 on behalf of licensed corporations designated by the Hong Kong Securities and Futures Commission||Pending||09/18/2012||0|
|ICE Futures Canada, Inc.||Canada||Initial request for General relief. 66 Fed. Reg. 27859 (May 21, 2001)||Order Issued Granting||05/15/2001||Formerly known as The Winnipeg Commodity Exchange, Inc., renamed effective January 1, 2008.||1|
|Korea Exchange||Korea, Republic Of||Request for exemption pursuant to Commission Regulation 30.10 on behalf of designated members of KRX||Pending||01/23/2009||0|
|Marche a Terme International de France||France||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||Initial Request for General Relief. 62 Fed. Reg. 16687 (April 8, 1997)||Order Issued Granting||03/31/1997||Relief issued with respect to MEFF Renta Variable products.||1|
|MEFF AIAF SENAF Holding de Mercados S.A.||Spain||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|
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