Entity DossierGovernment Body

Commodity Futures Trading Commission

Federal agency CFTC

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103

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Regulatory Capture Assessment

Regulatory capture is when an agency advances the interests of the industry it oversees (Stigler 1971; Carpenter & Moss 2013). The counts below are records in this tracker that connect outside parties to this agency. They are context for that question, not evidence that capture occurred.

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Opposed / enabled / benefited records

Revolving-door records

Rules issued or proposed

Counted over all 103 relationship records for this agency.

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Relationships

Type	Connected To	Details	Source
Proposed rule	Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions	CFTC proposed rule: Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions	Source
Issued rule	Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants	Issued the rule.	Source
Issued rule	Proposal To Provide Exemptive Relief To Facilitate Cross-Margining of Customer Positions Cleared at Chicago Mercantile Exchange, Inc. and Fixed Income Clearing Corporation	Issued the rule.	Source
Shaped policy	Withdrawal of Interpretive Guidance: Retail Commodity Transactions Involving Certain Digital Assets	Withdrew the rulemaking before finalizing it.	Source
Issued rule	Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations	Issued the rule.	Source
Issued rule	Amendments to CFTC Rules of Practice and Rules Relating to Investigations	Issued the rule.	Source
Proposed rule	Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets	CFTC proposed rule: Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets	Source
Issued rule	Financial Data Transparency Act Joint Data Standards	Issued the rule.	Source
Proposed rule	Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants	CFTC proposed rule: Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants	Source
Issued rule	Order of the Commodity Futures Trading Commission Relating to the Continuation, Shutdown, and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations	Issued the rule.	Source
Issued rule	Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants	Issued the rule.	Source
Issued rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date	Issued the rule.	Source
Shaped policy	Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions; Withdrawal of Proposed Regulatory Action	Withdrew the rulemaking before finalizing it.	Source
Shaped policy	Withdrawal of Commission Guidance	Withdrew the rulemaking before finalizing it.	Source
Shaped policy	Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Withdrawal of Proposed Regulatory Action	Withdrew the rulemaking before finalizing it.	Source
Issued rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date	Issued the rule.	Source
Issued rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Issued the rule.	Source
Issued rule	Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2025	Issued the rule.	Source
Issued rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Extension of Compliance Date	Issued the rule.	Source
Issued rule	Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants	Issued the rule.	Source
Issued rule	Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations	Issued the rule.	Source
Issued rule	Regulatory Flexibility Agenda	Issued the rule.	Source
Issued rule	Foreign Boards of Trade	Issued the rule.	Source
Issued rule	Provisions Common to Registered Entities; Correction	Issued the rule.	Source
Issued rule	Provisions Common to Registered Entities	Issued the rule.	Source
Issued rule	Commission Guidance Regarding the Listing of Voluntary Carbon Credit Derivative Contracts	Issued the rule.	Source
Issued rule	Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments	Issued the rule.	Source
Issued rule	Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations; Correction	Issued the rule.	Source
Shaped policy	Incorporation of Changes in the Commission's Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text	Repealed or rescinded the rule.	Source
Issued rule	Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Domiciled in the French Republic and Federal Republic of Germany and Subject to Regulation in the European Union	Issued the rule.	Source
Issued rule	Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the United Kingdom Prudential Regulation Authority	Issued the rule.	Source
Issued rule	Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealer Subject to Regulation by the Mexican Comision Nacional Bancaria y de Valores and Banco de Mexico	Issued the rule.	Source
Issued rule	Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the Financial Services Agency of Japan	Issued the rule.	Source
Issued rule	Event Contracts	Issued the rule.	Source
Issued rule	Privacy Act Regulations	Issued the rule.	Source
Issued rule	Event Contracts	Issued the rule.	Source
Issued rule	Large Trader Reporting Requirements	Issued the rule.	Source
Issued rule	Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants	Issued the rule.	Source
Issued rule	Swap Confirmation Requirements for Swap Execution Facilities	Issued the rule.	Source
Proposed rule	Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements	CFTC proposed rule: Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements	Source
Issued rule	Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions	Issued the rule.	Source
Issued rule	Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions	Issued the rule.	Source
Issued rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Issued the rule.	Source
Issued rule	Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements; Reopening of Comment Period	Issued the rule.	Source
Issued rule	Foreign Boards of Trade	Issued the rule.	Source
Issued rule	Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants	Issued the rule.	Source
Proposed rule	Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives - Request for Comment	CFTC proposed rule: Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives - Request for Comment	Source
Proposed rule	Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities	CFTC proposed rule: Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities	Source
Issued rule	Guidance: Listing of Voluntary Carbon Credit Derivative Contracts	CFTC issued rule: Guidance: Listing of Voluntary Carbon Credit Derivative Contracts	Source
Issued rule	Protection of Clearing Member Funds Held by Derivatives Clearing Organizations	Issued the rule.	Source
Issued rule	Privacy Act Regulations	Issued the rule.	Source
Issued rule	Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of Nonbank Swap Dealers Subject to Capital and Financial Reporting Requirements of the United Kingdom and Regulated by the United Kingdom Prudential Regulation Authority	Issued the rule.	Source
Shaped policy	Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants	Withdrew the rulemaking before finalizing it.	Source
Issued rule	Whistleblower Award Determination	CFTC issued rule: Whistleblower Award Determination	Source
Issued rule	Swap Confirmation Requirements for Swap Execution Facilities	Issued the rule.	Source
Issued rule	Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to a Nonbank Swap Dealer Domiciled in the French Republic and Subject to the European Union's Investment Firms Regulation and Investment Firms Directive	Issued the rule.	Source
Issued rule	Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps to Account for CAD and MXN Interest Rate Benchmark Transitions	Issued the rule.	Source
Issued rule	Official Seal	Issued the rule.	Source
Issued rule	Privacy Act Regulations	Issued the rule.	Source
Issued rule	Form PF; Reporting Requirements for All Filers	Issued the rule.	Source
Issued rule	Order Providing Exemptive Relief To Facilitate Cross-Margining of Customer Positions Cleared at Chicago Mercantile Exchange, Inc. and Fixed Income Clearing Corporation	Issued the rule.	Source
Issued rule	Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets	Issued the rule.	Source
Issued rule	Prediction Markets	Issued the rule.	Source
Issued rule	Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements	Issued the rule.	Source
Issued rule	Retail Commodity Transactions Involving Certain Digital Assets	CFTC issued rule: Retail Commodity Transactions Involving Certain Digital Assets	Source
Issued rule	Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations	Issued the rule.	Source
Issued rule	Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations	Issued the rule.	Source
Issued rule	Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments	Issued the rule.	Source
Issued rule	Provisions Common to Registered Entities	Issued the rule.	Source
Issued rule	Reporting and Information Requirements for Derivatives Clearing Organizations	Issued the rule.	Source
Issued rule	Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants	Issued the rule.	Source
Issued rule	Derivatives Clearing Organizations Recovery and Orderly Wind-Down Plans; Information for Resolution Planning	Issued the rule.	Source
Issued rule	Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants	Issued the rule.	Source
Issued rule	Governance Requirements for Derivatives Clearing Organizations	Issued the rule.	Source
Issued rule	Order Designating the Unique Product Identifier and Product Classification System To Be Used in Recordkeeping and Swap Data Reporting	Issued the rule.	Source
Issued rule	Large Trader Reporting Requirements	Issued the rule.	Source
Issued rule	Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of Nonbank Swap Dealers Domiciled in the French Republic and Federal Republic of Germany and Subject to Capital and Financial Reporting Requirements of the European Union	Issued the rule.	Source
Issued rule	Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants	Issued the rule.	Source
Issued rule	Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants	Issued the rule.	Source
Issued rule	Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections	Issued the rule.	Source
Issued rule	Prediction Markets; Public Interest Determinations	Issued the rule.	Source
Shaped policy	Rescission of Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings	Repealed or rescinded the rule.	Source
Issued rule	Whistleblower Award Determination	Issued the rule.	Source
Issued rule	Order: Conditional Substituted Compliance in Connection with Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the Financial Services Agency of Japan	CFTC issued rule: Order: Conditional Substituted Compliance in Connection with Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the Financial Services Age	Source
Proposed rule	Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations	CFTC proposed rule: Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations	Source
Proposed rule	Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the 'Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments	CFTC proposed rule: Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the 'Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs;	Source
Proposed rule	Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants	CFTC proposed rule: Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants	Source
Proposed rule	Protection of Clearing Member Funds Held by Derivatives Clearing Organizations	CFTC proposed rule: Protection of Clearing Member Funds Held by Derivatives Clearing Organizations	Source
Proposed rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	CFTC proposed rule: Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Source
Proposed rule	Proposed Order: Application for a Capital Comparability Determination From the Financial Services Agency of Japan	CFTC proposed rule: Proposed Order: Application for a Capital Comparability Determination From the Financial Services Agency of Japan	Source
Proposed rule	Reporting and Information Requirements for Derivatives Clearing Organizations	CFTC proposed rule: Reporting and Information Requirements for Derivatives Clearing Organizations	Source
Issued rule	Provisions Common to Registered Entities	CFTC issued rule: Provisions Common to Registered Entities	Source
Proposed rule	Provisions Common to Registered Entities	CFTC proposed rule: Provisions Common to Registered Entities	Source
Issued rule	Withdrawal of Interpretive Guidance: Retail Commodity Transactions Involving Certain Digital Assets	CFTC issued rule: Withdrawal of Interpretive Guidance: Retail Commodity Transactions Involving Certain Digital Assets	Source
Issued rule	Further Definition of ``Swap'' to Exclude Casino-Style Gambling Products - Interim final rule and request for comments	CFTC issued rule: Further Definition of ``Swap'' to Exclude Casino-Style Gambling Products - Interim final rule and request for comments	Source
Proposed rule	Further Definition of ``Swap''—Inclusions	CFTC proposed rule: Further Definition of ``Swap''—Inclusions	Source
Proposed rule	Conflicts and Affiliations	CFTC proposed rule: Conflicts and Affiliations	Source
Employs	Michael Selig	Chairperson, Office of the Chairperson (presidential appointment with Senate confirmation)	Source
Overseen by	Senate Banking Committee	Senate Banking Committee has jurisdiction over the Commodity Futures Trading Commission	Editorial
Employs	Caroline Pham	Caroline Pham serves as Acting CFTC Chair	Editorial
Overseen by	Senate Agriculture Committee	Senate Agriculture Committee has jurisdiction over the Commodity Futures Trading Commission	Editorial
Overseen by	House Financial Services Committee	House Financial Services Committee has jurisdiction over the Commodity Futures Trading Commission	Editorial
Overseen by	House Agriculture Committee	House Agriculture Committee has jurisdiction over the Commodity Futures Trading Commission	Editorial