Nothing in this Advisory should be deemed to oblige the Division or the Commission to consider one or more factors, or to give certain factors ...
This is a copy of the CFTC's organizational chart published by the agency in 2020
This is the newly revised Form CPO-PQR approved by the CFTC
"A lack of liquidity and transparency can negatively impact the ability of derivatives markets participants to manage and mitigate risk"
A peer shares the firm's checklist for branch office inspections
This Manual was prepared by the CFTC Division of Enforcement’s Office of Chief Counsel, and is property of the United States Government.
The Manual reflects the ...
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to register with the
Commission ...
For the first time, the CFTC is releasing exam priorities -- like the SEC has done for years. This document outlines the priorities for 2019.
A peer provides a copy of the firm's NFA exam letter.
A peer shares the firm's recent document request letter from an NFA exam.