The National Futures Association collected more than half a million dollars in fines in FY 2018, according to its new annual report released Nov. 20. ...
The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018. The Commission’s annual report card on its enforcement ...
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register ...
September 2020 may seem way off but the CFTC’s chief economist warns regulators must prepare for that date when Phase 5 of the agency’s swaps ...
In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, SEC ...
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ...
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KISS ...
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them. That behavior is highlighted in a ...
It’s the IT equivalent of leaving your front door open to the world. The CFTC has fined the futures commission merchant AMP Global Clearing ...