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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: ALL] AND [Date From: To: ]
The results for the query dated : 2/1/2023 5:09:55 AM are:

OrganizationCountryFiling DescriptionStatusDateRemarksAssociated Documents
Australian Securities ExchangeAustraliaAmended 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
B3 S.A. - Brasil, Bolsa, BalcaoBrazilInitial request for General relief. 67 Fed. Reg. 45056 (July 8, 2002)Order Issued Granting06/28/2002The Order was issued to the Bolsa de Mercadorias & Futuros (BM&F). BM&F changed its name to B3 in July 2017.1
Bombay Stock Exchange LimitedIndiaInitial request for General Relief. 85 Fed. Reg. 84769 (November 24, 2020)Order Issued Granting11/02/2020 .0
Bursa Malaysia Derivatives BhdMalaysiaInitial request for General Relief. 75 Fed. Reg. 35291 (June 22, 2010)Order Issued Granting06/15/2010 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
Hong Kong Securities and Futures CommissionHong KongInitial request for General Relief. 80 Fed. Reg. 15680 (March 25, 2015)Order Issued Granting03/19/2015 0
ICE Futures Canada, Inc.CanadaInitial request for General relief. 66 Fed. Reg. 27859 (May 21, 2001)Deemed Withdrawn07/27/2018Formerly known as The Winnipeg Commodity Exchange, Inc., renamed effective January 1, 2008. ICE Futures Canada ceased operations on July 27, 2018.1
Korea ExchangeKorea, Republic OfInitial Request for General Relief. 81 Fed. Reg. 7204 (February 11, 2016)Order Issued Granting02/08/2016 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
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