Extension of Time-Limited No-Action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.
Two families, whose patriarchs have been business partners of a large, publicly traded U.S. retailer since the company's founding over forty years ago, requested no-action ...
Federal Court Orders Defendants to Pay More than $3.5 Million in Restitution and a Monetary Penalty in CFTC Anti-Fraud Action.
Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers
Acting Chair Wetjen welcomes Sharon Bowen to the Commission
Commissioner O'Malia mentions Michael Lewis's book in opening meeting that also would look at high-frequency trading’s impact on derivatives.
Form of Reply for CFTC Letter No. 14-75, 14-76, 14-77, 14-78, 14-79, 14-80, 14-81, 14-82, 14-83, and 14-84.
Time-limited no-action relief from compliance with the quarterly risk reporting requirement under Regulation 23.600(c)(2) for any fiscal quarters ending on or before July 31, 2014.
Acting Chair Wetjen believes in remaining "true to congressional intent to maximize transparency where appropriate, but work to ensure an orderly transition to what remains ...
Time-Limited No-Action Relief for Members of Designated Contract Markets and Swap Execution Facilities that Are Not Registered with the Commission from the Requirement to Record ...