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Futures (36)
Your search for Futures returned 36 results.
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11/28/2017 | Content area: CPO/CTA
The trading liquidity of U.S. Treasuries and their associated futures contracts is of particular interest: Treasuries are a benchmark for other U.S. a...
12/16/2016 | Content area: Investment Adviser
    Investment Company Act of 1940 - Section 17(e) Russell Investment Management, LLC December 16, 2016 You...
7/07/2016 | Content area: CPO/CTA
The CFTC has issued a new staff advisory reminding all registrants of their obligation to “regularly” review the economic sanctions programs and the D...
5/26/2016 | Content area: Broker-Dealer
The SEC’s Exchange Act rule adopted on a temporary basis to permit a registered broker-dealer to engage in a retail forex business will expire July 31...
3/17/2015 | Content area: CPO/CTA
CFTC Commissioner Mark Wetjen discusses the residual-interest requirement and the clarification that one customer’s funds could not be used by an FCM ...
1/21/2015 | Content area: CPO/CTA
Speaking in Tokyo, CFTC Chair Massad talks about everything from cybersecurity to global swaps regulation.
1/01/2015 | Content area: CPO/CTA
(a) Restriction on futures trading Unless exempted by the Commission pursuant to subsection (c) or by subsection (e), it shall be unlawful for any pe...
1/01/2015 | Content area: CPO/CTA
(a) Issuance of regulations The Commission shall issue regulations to prohibit the privilege of dual trading in security futures products on each con...
1/01/2015 | Content area: CPO/CTA
(a) Short title This section may be cited as the “United States Cotton Futures Act”. (b) Repeal of tax on cotton futures Subchapter D of chapter 39...
1/01/2015 | Content area: CPO/CTA
(a) Development and implementation of plan for user fees; report to and approval by Congressional committees Notwithstanding any other provision of l...
1/01/2015 | Content area: CPO/CTA
(a) Information The Commission may conduct regular investigations of the markets for goods, articles, services, rights, and interests which are the s...
1/01/2015 | Content area: CPO/CTA
(a) Registration statement Any association of persons may be registered with the Commission as a registered futures association pursuant to subsectio...
11/05/2014 | Content area: CPO/CTA
Commissioner Bowen shares her six guiding principles, including that "we have to be focused on how we can identify the next potential crisis while sti...
4/14/2014 | Content area: CPO/CTA
The only better news advisers harmed by the failure of MF Global could get than that they and their clients will be made whole is to actually see the ...
4/07/2014 | Content area: CPO/CTA
Last week, the CFTC announced that its legal action against the remnants of MF Global has reached the stage where the bankruptcy trustee will "begin m...
7/16/2012 | Content area: CPO/CTA
Along with sunscreen and vacations, your summer may well include determining whether your firm is bound for registration as a commodity pool operator ...
5/28/2012 | Content area: CPO/CTA
The prospect of living under two regulators may be as welcoming as a police officer's flashing lights in your rear view mirror. But know that others h...
5/23/2012 | Content area: Broker-Dealer
This is a joint SEC-CFTC rule, promulgated in 2012 from Dodd-Frank reforms, that sets out definitions for key terms. These include swap dealer, securi...
5/07/2012 | Content area: Investment Adviser | CPO/CTA
Press reports have indicated how farmers, ranchers and regular investors who hedged using commodities got burned by the failure of MF Global. Scattere...
2/27/2012 | Content area: CPO/CTA
Turns out the process to register as a commodity pool operator or commodity trading advisor with the CFTC differs greatly from the SEC's process. For ...


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