If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the lo...
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.
2019 Compliance Branch Exami...