Commodity Futures Trading Commission (CFTC)

A new guide to help with the transition to SOFR

A failure to provide the annual affirmation can result in the exemption being withdrawn

This and other actions by the CPO caused it not to “satisfy its duty of disclosure to participants and prospective participants,” which amount to fraud

By failing to adequately inform the investing public, during the period April 24 through May 21, 2020, of the specific constraints put on the fund ...

Ironically, the government will get a big chunk of the cash back because whistleblower awards are taxable

"My poor judgement was that I failed to review these internal reports daily and take note of the fact that the reports was [SIC] not ...

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...

SEC to be remote through Jan. 3, sources say

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

Chairman cites "limited transparency" in wake of Archegos scandal