CFTC commissioners voted May 2 to approve a final rule that redefines “material terms” under its rules to exclude the need to report 24 data ...
The Department of Labor’s fiduciary duty rule largely leaves swaps arrangements outside of its purview, in part because the SEC and the CFTC already troll ...
The latest evidence of cross-border regulators promising to cooperate occurs as the CFTC signs separate memoranda of understanding with three of 13 Canadian securities regulators. ...
It’s hard to comply with the rules when the regulator’s not transparent about them. Take the idea that CCOs at swaps dealers and futures commission ...
Whistleblower awards from the CFTC’s Whistleblower Office have been particularly paltry in relation to the agency’s SEC counterpart. The program took a big step up ...
In another move to nourish “the principles of international comity,” the CFTC March 28 approved a final rule permitting foreign commodity sales agents from having ...
Swap dealers must file daily large trader reports with the CFTC. Not doing so can be costly. JP Morgan Ventures Energy Corp. and JP ...
The long arm of the law can reach back through time. Violations that occurred during the height of the financial crisis resulted in a CFTC ...
Two months ago, the SEC fined the advisory firm Equinox Fund Management in Denver for misleading investors about fees and valuation (IA Watch, Jan. 21, ...
The CFTC has finalized its trade option rule that should be in place by April 1, negating the need for certain parties to file Form ...