Heather Ayers
This final rule acknowledges the end of the CFTC's Division of Clearing and Intermediary Oversight and the reassigning of its staff and responsibilities to the ...
This rule permitted the CFTC to delegate its authority to staff concerning the disclosure of information to self regulatory organizations created in the wake of ...
This rule corrects a compliance date.
This final rule makes some corrections to swap dealer regulations.
This rule adopts regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person ...
This rule clarifies certain responsibilities of a swap dealer (SD) or major swap participant (MSP) regarding its employees who solicit, accept or effect swaps in ...
The outline that follows is divided into five sections, each of which addresses a different question: Who is an “investment adviser?” Which investment advisers must ...
This final rule revises the CFTC's Rules of Practice, Rules Relating to Reparation Proceedings, and its Rules Relating to Review of National Futures Association (NFA) ...
The staff recently was asked for its views on whether the 3.8% tax should be included in determining the highest individual marginal federal income tax ...
This rule delegates certain Commission work to its general counsel.