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Commodity Futures Trading Commission (CFTC) (1314)
Your search for Commodity Futures Trading Commission (CFTC) returned 1314 results.
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3/21/2019 | Content area: CPO/CTA
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal to reduce burden...
3/08/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to reg...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
2/28/2019 | Content area: CPO/CTA
The recent government shutdown has slowed but not deterred harmonization efforts between the SEC and the CFTC.   “We’re making very good progress” tow...
2/14/2019 | Content area: CPO/CTA
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
2/14/2019 | Content area: CPO/CTA
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the lo...
2/14/2019 | Content area: CPO/CTA
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.   2019 Compliance Branch Exami...
2/12/2019 | Content area: CPO/CTA
For the first time, the CFTC is releasing exam priorities -- like the SEC has done for years. This document outlines the priorities for 2019.
2/11/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inf...
1/10/2019 | Content area: CPO/CTA
The CFTC may be temporarily closed due to the government shutdown but that isn’t stopping  President Trump from asking Congress to approve the Commiss...
12/20/2018 | Content area: CPO/CTA
Haena Park showed so much promise. She couldn’t speak English when she moved to the U.S. at age 13 and yet graduated as valedictorian at her high scho...
12/20/2018 | Content area: CPO/CTA
The comment period closed last week for the CFTC’s October proposal directed at CPO/CTA registration (CPO/CTA Watch, Oct. 11, 2018). Some 30 comments ...
12/13/2018 | Content area: CPO/CTA
The Senate is being asked to confirm Heath Tarbert to be the next CFTC chairman after current Chairman J. Christopher Giancarlo’s term expires next ye...
12/13/2018 | Content area: CPO/CTA
In an effort “to understand similarities and distinctions between certain virtual currencies, including here Ether and Bitcoin,” the CFTC has issued a...
12/06/2018 | Content area: CPO/CTA
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing amendments to regulations relating to the trade execution requireme...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual p...
11/29/2018 | Content area: CPO/CTA
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...
11/29/2018 | Content area: Investment Adviser
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed las...
11/26/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting amendments (‘‘Final Rule’’) to its margin requirements for uncleared...


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