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The SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts

The Adviser's Guide to SEC Advertising and Marketing Rules

Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

CPO/CTA NEWS & GUIDANCE

CFTC commissioners approve two proposals: a margin delay and an EU exclusion

10/17/2019

A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility h...

Rare federal row included threats to haul CFTC commissioners to court

10/10/2019

A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confide...

CPOs/CTAs urged to get ready for a revised supervision rule

10/10/2019

Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years. The SRO ...

LAWS & REGULATORY ACTIONS

Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme

COMPLIANCE TOOLBOX

Save time with hundreds of peer-tested tools and sample documents.

CFTC Organization Chart

CFTC Enforcement Manual

Registration Form 7-R

SPEECHES

Speeches from key industry regulators

Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting

Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts

Joint Statement on Opportunistic Strategies in the Credit Derivatives Market