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: Pending] AND [Date From: To: ]|
|The results for the query dated : 3/10/2014 9:12:20 PM are:|
|Organization||Country||Filing Description||Status||Date||Remarks||Associated Documents|
|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|
|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|
|National Stock Exchange of India||India||Request for exemption pursuant to Commission Regulation 30.10 on behalf of designated members of NSE||Pending||08/06/2007||0|