Congress via Dodd-Frank in 2010 ordered the CFTC to set position limits for derivatives as a way to limit excessive speculation. The CFTC has now ...
Until a consultant reported the cyber threat to the CFTC, the Commission didn’t know that a common online method for registrants to share sensitive financial ...
For the second time in five years, the CFTC has proposed capital and financial reporting rules for swap dealers and major swap participants. The ...
Alvin Guy Wilkinson once served as a member of the Chicago Board Options Exchange, held leadership roles on CBOE committees and had ties to the ...
The 68 enforcement cases the CFTC announced in FY 2016 comes in a shade behind the 69 achieved the previous year, but the agency’s $1.29 ...
Four international financial standards are now available for commodity pool operators that are run from outside the U.S. The CFTC has approved a final rule ...
Even as CFTC staff promise tougher stress tests to come, they’ve issued a new report giving passing grades to five derivatives clearinghouses in the U.S. ...
Following an August proposal, the three CFTC commissioners Nov. 10 unanimously agreed to a final rule giving CCOs at futures commission merchants, swap dealers and ...
The proposed Regulation Automated Trading that came out last year doesn’t affect CPOs/CTAs directly. It’s targeted at larger designated contract markets and future commissions merchants. ...
The National Futures Association has reached across the Atlantic yet again to fine a foreign-based CPO/CTA $60,000 for commingling offshore pool funds, sending investors error-ridden ...