Commodity Futures Trading Commission (CFTC)

The only better news advisers harmed by the failure of MF Global could get than that they and their clients will be made whole is ...

The investment manager of a cash collateralized loan obligation (CLO) transaction requested, and DSIO granted pursuant to Regulation 140.99, a no action position from DSIO ...

Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States

An insurance company requested no-action relief from the Division, in order to allow the company to provide reinsurance of pension plans' longevity risks through multi-step ...

California Resident Charles Victoria and his Companies PGS Capital Wealth Management and PGS Capital Credit, Inc., and Florida Resident Frank O. Davies and his Company ...

Last week, the CFTC announced that its legal action against the remnants of MF Global has reached the stage where the bankruptcy trustee will "begin ...

Commissioner O'Malia talks about the importance of technological innovation, the need to ensure that end-users are not caught by CFTC rules and the futurization of ...

Extension of previously issued no-action.

An FCM must maintain adjusted net capital equal to or in excess of the greatest of $1 million, or various other measures, including the “amount ...