Commissioner O'Malia talks about the importance of technological innovation, the need to ensure that end-users are not caught by CFTC rules and the futurization of ...
Extension of previously issued no-action.
An FCM must maintain adjusted net capital equal to or in excess of the greatest of $1 million, or various other measures, including the “amount ...
This is a proposed rule from 2014 concerning investment company advertising for target date funds. It seeks additional comments after a proposed revision from the ...
O'Malia suggests the CFTC automate its tips and complaints intake function or invest in enhanced market surveillance and risk analytics system.
I have consistently advocated for the protection of end-users from Dodd-Frank’s expansive regulatory reach.1 Similarly, members of Congress have attempted to clarify to the Commission ...
"The Commission must continue to remain open to revisiting certain rules and making adjustments as necessary. For example, the de minimis exception in the swap ...
Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered ...
This firm committed solicitation fraud, misappropriation and issued false account statements to commodity pool participants while operating a commodity pool Ponzi scheme.
Federal Court Orders St. Augustine, Florida Couple and Their Company to Pay $5.76 Million for Defrauding Customers in Foreign Currency Scheme