Federal Court Orders Purported Metals Dealer and His Companies to Pay More Than $8 million for Fraud and Misappropriation of Customer Funds in CFTC Action
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inflation. This
rule sets forth ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing amendments to regulations relating to the trade execution requirement under the Commodity Exchange Act (‘‘CEA’’ ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual privacy notices to customers. The ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting amendments (‘‘Final Rule’’) to its margin requirements for uncleared swaps for swap dealers (‘‘SD’’) and ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending the de minimis exception within the ‘‘swap dealer’’ definition in the Commission’s
regulations by setting the ...
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept ...
The Commission’s amended complaint alleged that Bruton and Hope perpetrated a scheme to charge unearned fees to the HI Fund. Specifically, the HI Fund employed ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending its regulations regarding certain duties of chief compliance officers (‘‘CCOs’’) of swap dealers (‘‘SDs’’), major ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing rule amendments pursuant to its authority under section 4(c) of the Commodity Exchange Act (CEA) ...