Notification of Pending Legal Proceedings

The Commodity Futures Trading Commission has been entrusted by Congress with the administration and the enforcement of the Commodity Exchange Act (“Act”). Legal proceedings instituted by private parties or other governmental authorities may affect the Commission’s efforts in this regard. The interpretation of the responsibilities imposed by the Act on contract markets and their officials and on futures commission merchants (“FCMs”) and their principals is of primary importance to the Commission in its efforts to establish and administer a uniform regulatory scheme in this area.

The latest form for Notification of Pending Legal Proceedings expires 2028-01-31 and can be found here.