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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

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

CPO/CTA NEWS & GUIDANCE

CFTC chairman urges market-based solutions for the new digital economy

6/07/2019

The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...

CPO/CTA that ignored NFA examiners loses SRO membership and the firm

5/23/2019

You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his C...

CFTC proposes simplifying processes for registered DCOs

5/16/2019

There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator. The Commission is proposing simp...

LAWS & REGULATORY ACTIONS

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

U.S. District Court for the Northern District of California Imposes Permanent Trading Ban against Defendant in CFTC False Statements and Solicitation Fraud Action

CFTC Charges Company and its Principal in $147 Million Fraudulent Bitcoin Trading Scheme

CFTC No-Action Letter 19-13: No-action relief granted to swap dealers from the uncleared swap margin requirements under Part 23 of the Commission's regulations with ...

COMPLIANCE TOOLBOX

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

CFTC Enforcement Manual

Registration Form 7-R

2019 Compliance Branch Examination Priorities