Today’s proposal demonstrates that the Commission can revisit Dodd-Frank rulesets and make needed adjustments based on its implementation experience over the past few years. I ...
The Non-U.S. SDs sought relief from such requirements when entering into swaps with a counterparty that is not a U.S. person.
As I have repeatedly stated, the benign sounding ‘Staff Advisory 13-69’ should be permanently withdrawn because it represents a threat to American jobs and vital ...
Creagh falsely represented to the NFA on multiple occasions that the commodity pool he operated on behalf of Wall Street Pirate was not active, despite ...
Morgan Stanley failed to hold sufficient U.S. Dollars in segregated accounts in the United States to meet all U.S. Dollar obligations to the firm’s cleared ...
1) Defendants solicited and accepted approximately $1.35 million from pool participants, and filed a false commodity trading advisor exemption to trade the fund, 2) issued ...
The CFTC must make a more concerted effort to fix its swaps trading rules in accordance with the letter and spirit of Title VII of ...
This July 2015 exemption letter from the CFTC exempts certain CTAs from filing Form CTA-PR with the CFTC that would normally be required. This relief ...
The G-20 commitments and the Dodd-Frank Act brought fundamental change to the derivatives markets. And as with any fundamental change, there has been – and ...
The analysis of the MAT rulemaking should not be focused on who makes the MAT determination, swap execution facilities (SEFs) or the CFTC. That would ...