Commodity Futures Trading Commission (CFTC)

The Commission is also adopting several amendments to existing regulations as part of the proposed capital and financial recordkeeping and reporting requirements

The Commission believes that section 2(i) provides it express authority over swap activities outside the United States when certain conditions are met, but it does ...

A compliance program that looks adequate to enforcement staff can result in lower civil money penalties after an enforcement action

In one case, a CTA has operated for 20 years without allegedly joining the NFA

If confirmed, Bowes could serve until 2025

The Commission proposed that the term “foreign branch” would mean an office of a U.S. person that is a bank that: (1) is located outside ...

In connection with an industry-wide response to the coronavirus disease 2019 pandemic, temporary no-action relief was granted pursuant to Letter 20-16 for persons failing to ...

The CFTC is withdrawing proposed rules published on December 17, 2015 (80 FR 78824) and November 25, 2016 (81 FR 85334) as of July 15, ...

The Commission is issuing the Interim Final Rule to amend the CFTC Margin Rule by deferring for one year to September 1, 2021, compliance with ...

The third goal promises to emphasize “our tradition of principles-based regulation where appropriate” and to address “any regulations that no longer serve a regulatory purpose”