Commodity Futures Trading Commission (CFTC)

Prepare now if you’re at a larger CPO for the potential of a CFTC exam next year. The visit would be separate from whatever the ...

“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities

Failure to file timely reports

Thompson induced two customers to send roughly $7 million to fund the purchase of bitcoin after making false representations

The CFTC has paid out more than $90 million in awards since establishing the Whistleblower Program

The order requires assesses a $140,000 civil monetary penalty

The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains ...

Promised pool participants 8%-20% returns, lost $1.4 million

Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing a final rule to amend the position limit rules applicable to security futures products (“SFP”) ...