Commodity Futures Trading Commission (CFTC)

    Investment Advisers Act of 1940 — Section 17(f) Chicago Mercantile Exchange July 10, 2013 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

The CFTC last week avoided a fate that twice has befallen the SEC - having its rulemaking rejected for conducting deficient costs and benefits analyses. ...

As had been expected, the CFTC June 27 filed a civil lawsuit against MF Global, its former CEO Jon Corzine and the firm's former assistant ...

We put you on notice in February that commodity trading advisors will likely face quarterly reporting to the National Futures Association (IA Watch, Feb. 11, ...

This is a chart, shared with permission of Bingham, that shows compliance requirements for commodity pool and trading advisers filing various required forms with the ...

This final rule acknowledges the end of the CFTC's Division of Clearing and Intermediary Oversight and the reassigning of its staff and responsibilities to the ...

This rule permitted the CFTC to delegate its authority to staff concerning the disclosure of information to self regulatory organizations created in the wake of ...

This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...

A new CFTCfinal rule mandates that certain types of CTAs and other entities will have to put into place tape recording systems to preserve conversations ...