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Commodity Futures Trading Commission (CFTC)
Keynote Address of CFTC Commissioner J. Christopher Giancarlo at The Global Forum for Derivatives...
Commissioner Giancarlo calls for a new spirit of regulatory comity and cooperation.
This FCM was fined for failing to meet the minimum financial requirements and other violations.
Certain accounts held aggregated net long positions which exceeded the spot month speculative position limit for live cattle futures contracts.
Order includes restitution award and prohibitions against future activity.
The CFTC alleges a Ponzi scheme, with the defendants fraudulently soliciting more than $8.3 million from at least 40 investors for pooling and trading in ...
DMO is providing time-limited relief, subject to specified conditions, to SEFs from the requirement under section 43.2 until December 15, 2015, at 12:00 am EST. ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Chair Massad talks about U.S. and non-U.S. rules for warps. For instance, U.S. requirements on FCMs that "ensure not only that customer funds are protected, ...
Commissioner Wetjen talks about a new margin proposal that establishes initial and variation margin requirements for uncleared swaps between swap dealers, and others, and certain ...
Commissioner Bowen talks about "a crucial corner of the special entity world where I think it makes sense to take a different approach, and depart ...