Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...
The markets the Commission has traditionally overseen have grown in scale, technological sophistication, and complexity. The number of actively traded futures and options contracts has ...
The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of ...
Federal Court Orders U.S. Bank National Association to Pay $18 Million to Peregrine Customers
The CFTC says the pair operated as unregistered CTAs and stole investor funds. The firm should have been registered with the CFTC. However, Valois had ...
Commissioner Giancarlo talks flaws in swaps rules, including limits on methods of trade execution.
Commissioner Giancarlo believes his white paper offers comprehensive, cohesive and flexible alternatives to swaps trading rules.
Commissioner Giancarlo talks about proposed changes to Rule 1.35 -- the one that covers keeping oral and written records of transactions.
CFTC Orders Florida Resident Anthony Lauria and His Company Gold Coast Bullion, Inc. to Pay More than $9.6 Million in Restitution and a Civil Monetary ...
Commissioner Giancarlo attacks the CFTC's swaps regulations regime, saying it isn't supported by what Congress authorized.