This fraudster got serious time for a criminal conviction related to his commodities fraud.
This case claims that at least three customers were taken by a defendant who claimed that he was a licensed broker when in reality his ...
CFTC's Division of Market Oversight issues time-limited no-action relief from certain requirements of Part 45 and Part 46 of the Commission's regulations, for Certain Swap ...
CFTC Commission Chris Giancarlo outlines his six principles for financial market regulation.
Chairman Massad talks challenges ahead, including the oversight of clearinghouses, cross-border regulations, swaps trading and cybersecurity.
Commissioner Wetjen suggests six steps the Commission should take to ease concerns about its swaps regulations. These include to amend the agency's no-action letter on ...
This is an extension of a previous no-action letter from the CFTC.
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 ...
This FCM failed to supervise an AP and to provide and maintain an adequate program of supervision.
CFTC Chair Massad recaps swaps regulations while pointing out that Congress hasn't given the Commission the resources to do its job.