Commodity Futures Trading Commission (CFTC)

No-action letter permitting, subject to certain conditions, commodity pool operators of certain commodity pools that are non-registered investment companies ("Parent Pools") that use wholly-owned trading ...

This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.

The CFTC acts to prevent the defendant from destroying books and records and to give it immediate access to them.

FirstRand and another foreign-based company prearranged noncompetitive corn and soybean futures trades.

Merrill gets hit for failing to diligently supervise its officers’, employees’, and agents’ processing of futures exchange and clearing fees charged to its customers.

Subject to specific conditions, the Division of Swap Dealer and Intermediary Oversight granted the Federal Home Loan Mortgage Corporation and the Federal National Mortgage Association ...

Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants.

These crooks solicited retail customers, generally by telephone, to buy and sell physical precious metals, such as gold and silver, in off-exchange, leveraged transactions.