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Congressional Activity: Testimony (64)
Your search for Congressional Activity: Testimony returned 64 results.
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5/08/2019 | Content area: CPO/CTA
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers....
5/01/2019 | Content area: CPO/CTA
I will be pleased that I have furthered and confirmed much of the Dodd- Frank mandate for swaps. Where I have identified flaws in implementation, I ...
6/14/2018 | Content area: Investment Adviser
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmake...
6/08/2018 | Content area: Investment Adviser
No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more funding ou...
5/17/2018 | Content area: Investment Adviser
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
5/03/2018 | Content area: Broker-Dealer
DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Franci...
3/08/2018 | Content area: CPO/CTA
Cyber bad guys target the CFTC’s website hundreds of times a day, sometimes they even take it down (CPO/CTA Watch, March 19, 2015).   “The attacks are...
3/07/2018 | Content area: Investment Adviser
To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
3/07/2018 | Content area: CPO/CTA
market leaders and regulators, we must take every step possible to thwart cyber-attacks on the world’s financial markets. The cyber threat must take p...
2/15/2018 | Content area: CPO/CTA
The CFTC is committed to honoring its obligations under the 2016 equivalence agreement. Yet, there are some indications that the European Commission v...
2/06/2018 | Content area: CPO/CTA
We are entering a new digital era in world financial markets. As we saw with the development of the Internet, we cannot put the technology genie back ...
2/01/2018 | Content area: Investment Adviser
Advocates holler that FinTech will drive the future of financial services. But first you have to define what it is.   The term “is vague and lacks a p...
10/12/2017 | Content area: CPO/CTA
Lawmakers questioning CFTC Chairman J. Christopher Giancarlo Oct. 11 about his plans for the agency asked about cybersecurity, relations with Europe, ...
10/11/2017 | Content area: CPO/CTA
I am committed to supporting and strengthening the CFTC’s mission to foster open, transparent, competitive, and financially sound markets for the tra...
10/05/2017 | Content area: Broker-Dealer
The first phase of data reporting for the Consolidated Audit Trail scheduled for the middle of next month coupled with the recent announcement of the ...
10/05/2017 | Content area: Investment Adviser
One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group of la...
6/29/2017 | Content area: Investment Adviser | CPO/CTA
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told Congress J...
6/27/2017 | Content area: CPO/CTA
The era of Dodd-Frank implementation at the CFTC is now drawing to a close. It is time for the agency to resume normalized operations and practices. T...
6/22/2017 | Content area: CPO/CTA
If confirmed, I will serve the CFTC's regulatory mission in a way that best fosters broad-based economic growth and American prosperity. In order for ...
6/08/2017 | Content area: CPO/CTA
To effectively oversee the evolving derivatives markets, the Commission is requesting $281.5 million and 739 full-time equivalents (FTE) for fiscal ye...


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