Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annual ...
With Senate confirmation Aug. 28 of two CFTC commissioner nominees, Dawn Stump and Dan Berkovitz need only to be sworn in to assume their new ...
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date ...
In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commission’s regulation,” the ...
The SEC had previously increased position limits for equity security options so new action by the CFTC would create “a level regulatory playing field” by ...
The CTC’s latest proposal, adopted by an unanimous vote, is touted to “reduce unnecessary burdens on registrants and market participants by simplifying some overly detailed” ...
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...
About one year after the SEC released an investor alert about initial coin offerings, the CFTC has followed suit with its own alert (IA Watch, ...
Dodd-Frank gave the SEC supervision over security-based swaps and the CFTC over other swaps. Now the two agencies have agreed to work together to coordinate ...
As large as the CFTC’s fine of $65 million against J.P. Morgan for years of staff manipulating the ISDA dollar rate to benefit the bank’s ...