The CFTC announces the deadline extension for certain compliance requirements for Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants. The new ...
This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...
This is a final rule released by the SEC late in 2012 to extend the principal trading exception until Dec. 31, 2014.
This is a final rule adopted by the CFTC that would force commodity trading advisors (CTAs) and others to tape record conversations related to the ...
In this final rule, the CFTC makes changes to the Commodities Exchange Act to accommodate the changes due to the Dodd-Frank reform law that established ...
This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the Commodity Exchange Act.
This is the SEC's list of firms that must file a new Form ADV or a withdrawal notice via Form ADV-W by Dec. 17, 2012 ...
This is a final rule from the CFTC in 2012 entitled Documentation Requirements for Swap Dealers and Major Swap Participants.
This is a final rule from the CFTC released in September 2012 entitled Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From ...