It should be the final act. This month's joint final rule from the SEC and CFTC gives advisers many of the tools needed to determine ...
Within days of defining swaps, the CFTC on July responded to a request from four industry groups with a no-action letter granting one of their ...
Last week the SEC and the CFTC moved a big step forward in honoring their Dodd-Frank obligation to regulate derivatives by defining key terms like ...
Along with sunscreen and vacations, your summer may well include determining whether your firm is bound for registration as a commodity pool operator (CPO) or ...
The prospect of living under two regulators may be as welcoming as a police officer's flashing lights in your rear view mirror. But know that ...
Press reports have indicated how farmers, ranchers and regular investors who hedged using commodities got burned by the failure of MF Global. Scattered among the ...
Taking a page from recent legal successes against the SEC, the Investment Company Institute and the U.S. Chamber of Commerce sued the CFTC last week ...
One of the reasons CFTC Commissioner Bart Chilton penned his 65-page book, Ponzimonium: How scam artists are ripping off America, was because he couldn't believe ...
Talk of this move has bubbled for years and now the SEC - along with the CFTC - are proposing the authority to essentially enforce ...
Turns out the process to register as a commodity pool operator or commodity trading advisor with the CFTC differs greatly from the SEC's process. For ...