Heather Ayers
This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the Commodity Exchange Act.
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required to ...
The staff recently was asked for its views on the following situation: a fund had separate administration and advisory agreements and its board wanted to ...
Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules
This final rule from the CFTC served to bring some of its regulations in line with Dodd-Frank reforms.
This correction makes an editorial correction to language of the preamble that conflicted with the rule text of the final rule.
This final rule sets up a schedule to phase in compliance with the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act.
The rules further defined the terms ‘‘swap dealer,’’ ‘‘security-based swap dealer,’’ ‘‘major swap participant,’’ ‘‘major security-based swap participant’’ and ‘‘eligible contract participant.’’ Only the rules ...
This correction fixes an earlier regulation regarding Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management, and Core Principles and Other ...