Calculate deadlines for CFTC proceedings, commodity exchange enforcement, derivatives regulation, and federal commodities law compliance requirements.
CFTC proceeding or commodities regulatory deadline
Federal CourtsResponse to CFTC enforcement action
20 daysFrom service of complaint
Appeal of exchange disciplinary action
30 daysFrom exchange final decision
Registration as swap dealer
Before dealingPrior to swap dealing activities
Daily large trader position reports
Next business dayBy 9:00 AM following trade date
Commodities matters often involve coordination between CFTC, SEC, banking regulators, and international authorities. Consider cross-border implications and coordinate regulatory strategies across multiple jurisdictions and regulatory frameworks.
Maintain positive relationships with exchange compliance departments and understand exchange-specific rules and procedures. Exchange self-regulatory actions can significantly impact market participants and trading strategies.
Modern commodities regulation requires sophisticated technology systems for trade reporting, position monitoring, and regulatory compliance. Invest in systems that can adapt to evolving regulatory requirements and reporting formats.
Global commodities markets require attention to international regulatory coordination, substituted compliance regimes, and foreign regulatory requirements that may apply to U.S. market participants' overseas activities.
Determine the type of commodities proceeding: CFTC enforcement action, exchange investigation, swap dealer registration, or derivatives litigation.
Input the date of CFTC notice, exchange action, violation allegation, or other triggering event for commodities law deadline calculations.
Identify relevant statutes: Commodity Exchange Act, Dodd-Frank derivatives provisions, or CFTC regulations governing the specific matter.
Consider CFTC Rules of Practice, exchange self-regulatory procedures, and federal commodities law jurisdictional requirements.
Apply appropriate deadlines for CFTC proceeding responses, exchange appeals, registration requirements, or federal court commodities litigation.
Account for ongoing regulatory reporting, swap data reporting, margin requirements, and other commodities law compliance deadlines.