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Foreign Part 30

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.

Search Foreign Part 30 Exemptions using the following criteria:

Organization:
Initial or Amendment:
Relief Requested:
Country:
Status:
Date From: Open Calendar To: Open Calendar
Your query is: [Organization: ALL] AND [Initial or Amendment: ALL] AND [Relief Requested: ALL] AND [Country: ALL] AND [Status: Order Issued Granting] AND [Date From: To: ]
The results for the query dated : 9/2/2014 7:37:48 PM are:

OrganizationCountryFiling DescriptionStatusDateRemarksAssociated Documents
BM&F Bovespa S.A. - Bolsa de Valores, Mercadorias & FuturosBrazilInitial request for General relief. 67 Fed. Reg. 45056 (July 8, 2002)Order Issued Granting06/28/2002 1
Bursa Malaysia Derivatives BhdMalaysiaInitial request for general relief. 75 Fed. Reg. 35291 (June 22, 2010)Order Issued Granting06/15/2010Please 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 Also, please note that this order has been superseded by the Singapore Exchange Derivatives Trading Limited September 4, 2007 order.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 DeutschlandGermanyInitial request for Extended relief. 67 Fed. Reg. 30785 (May 8, 2002)Order Issued Granting04/29/2002 1
Financial Services AuthorityUnited KingdomAmended 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 Granting09/30/2003 1
ICE Futures Canada, Inc.CanadaInitial request for General relief. 66 Fed. Reg. 27859 (May 21, 2001)Order Issued Granting05/15/2001Formerly known as The Winnipeg Commodity Exchange, Inc., renamed effective January 1, 2008.1
Marche a Terme International de FranceFranceInitial request for General relief. 55 Fed. Reg. 23902 (June 13, 1990)Order Issued Granting06/06/1990As 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.SpainInitial Request for General Relief. 62 Fed. Reg. 16687 (April 8, 1997)Order Issued Granting03/31/1997Relief issued with respect to MEFF Renta Variable products.1
MEFF AIAF SENAF Holding de Mercados S.A.SpainInitial request for General Relief. 60 Fed. Reg. 30462 (June 9, 1995)Order Issued Granting06/05/1995Relief issuedwith respect to MEFF Renta Fija products.1
Montreal ExchangeCanadaAmended request for Extended relief. 62 Fed. Reg. 8875 (February 27, 1997).Order Issued Granting02/21/1997Note - Initial request for General relief. 54 Fed. Reg. 11179 (March 17, 1989). Order Issued Granting on 03/14/1989.2
SFE Corporation LtdAustraliaAmended request for Extended relief. 71 Fed. Reg. 40395 (July 17, 2006)Order Issued Granting07/11/2006The relief is updated to reflect changes to the Australian Financial Services Reform Act. Note - Initial request for extended relief. 53 Fed. Reg. 44856 (Nov. 7, 1988); Order Issued Granting; 11/01/1988. Amended request for Extended Relief. 58 Fed. Feg. 19209 (April 13, 1993). Order Issued Granting; 04/09/1993. Amended request for extended relief. 62 Fed. Reg. 10445 (March 7, 1997); Order Issued Granting; 03/03/1997.2
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