My principles throughout my tenure were the following: focus rules on the areas of greatest risk. Don’t be overly prescriptive. Eliminate or reduce the unintended ...
No-action letter permitting, subject to certain conditions, the CPO of a pool comprised solely of sophisticated institutions that do not invest in the pool for ...
The proposed amendments would implement Title LXXXVI of the FAST Act and make associated changes to the Commission’s regulations governing the grant of access to ...
The proposal would conform our rules to various changes Congress made in the law and provide a process for sharing of information. Among other things, ...
Today’s proposal will modernize recordkeeping and storage obligations set forth in CFTC rules, and make them technology neutral. By doing so, it will reduce costs ...
The proposed amendments would permit recordkeepers to leverage advances in information technology as a means to reduce costs associated with the retention and production of ...
The CFTC Order finds that JPMS failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually ...
I believe that wholesale repeal of Dodd Frank would be a big mistake. And particularly, when it comes to the reforms of the swaps market, ...
The Division will not recommend that the Commission commence any enforcement action against “B” for failure to register as a CPO under section 4m(1) of ...
We have improved international coordination by harmonizing rules in many areas, strengthening relationships, and working with other regulators on oversight of markets, all of which ...