Commodity Futures Trading Commission (CFTC)

James McDonald, Director of the CFTC’s Enforcement Division, stated: “Unfortunately, we have seen fraudsters in our markets seek to take advantage of the potential ...

After the initial privacy notice, another one is unnecessary unless these changes occur

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing amendments to parts 23, 43, 45, and 49 of the Commission’s regulations to improve the ...

I am pleased to see the first part of the Roadmap, the proposed changes to Part 49, issued today. These proposed changes update the ...

To entice pool participants, the defendants falsely represented that, among other things, pool participants would receive a minimum 12% guaranteed annual return; the Oasis Pools ...

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting amendments to revise its regulations requiring covered persons to provide annual privacy notices to customers. ...

The current implementation of the SLR is biased against derivatives. It does not take into account the fact that outstanding derivative contracts in a ...

The Follow-Up Group has three important tasks: •Examine instances of market fragmentation in securities and derivatives markets, and the potential reasons why fragmentation developed. •Take stock of ...

Commission seeks cooperation, promises transparency

That is, in large part, why we are here today – to rededicate ourselves, across industry segments, and with academia and financial intermediaries to engage ...