The Commission’s complaint alleged that Respondent offered and sold Sanomedics and Fun Cool Free securities to individual investors while acting as an unregistered
securities broker. In ...
One issue was left uncertain, which was whether private rights of action under the CEA could be brought against RTOs, ISOs, and other market participants. ...
I support this commonsense decision that it is not in the public interest to allow private lawsuits against electric utilities trading in wholesale energy markets.
Two ...
The Proposed Rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration ...
The de minimis threshold determines when an entity’s swap dealing activity requires registration with the CFTC. Registration triggers capital and margin requirements as well as ...
I support this initiative to get additional data on this subject, and I do not support changing the threshold at this time. But I wish ...
The CFTC Complaint alleges that the Defendants engaged in a fraudulent scheme to misrepresent the profitability and success of a futures trading system that they ...
There have been at least twelve major flash crashes since the passage of the Dodd-Frank Act.4 The growing incidence of these events shakes confidence in ...
This is just the latest in a number of steps we have taken to address cross-border issues in swaps rules. We have harmonized clearinghouse regulation ...
Although I do not agree with every part of the proposal, I believe the proposal and questions lay out the key issues to allow for ...