Carl Ayers
The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This final rule and interpretation deals with regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions) and makes ...
This Dodd-Frank-inspired regulation establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).
This final rule from the CFTC establishes a framework for the submission of new products, rules, and rule amendments by designated contract markets (DCMs), derivatives ...
This CFTC final rule removes credit rating references from Commission regulations. This Dodd-Frank reform targets futures commission merchants (FCMs), derivatives
clearing organizations (DCOs) and commodity pool ...