Carl Ayers
The staff has received inquiries asking whether a CFTC-registered adviser may rely on the exemption provided by new Section 203(b)(6)(B) if it advises a private ...
In this final rule, the CFTC makes changes to the Commodities Exchange Act to accommodate the changes due to the Dodd-Frank reform law that established ...
This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the Commodity Exchange Act.
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required to ...
The staff recently was asked for its views on the following situation: a fund had separate administration and advisory agreements and its board wanted to ...
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules
This final rule from the CFTC served to bring some of its regulations in line with Dodd-Frank reforms.
This correction makes an editorial correction to language of the preamble that conflicted with the rule text of the final rule.