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The changes harmonize the CFTC’s rules with the SEC’s
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
“The industry looks to these types of resolutions in structuring their own compliance” programs
Foreign travel figured into the NFA’s year
The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR
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 ...
Rule requires P&Ps to protect customer records and information
“When the global benchmark contract for oil fluctuates in $50 swings two days in a row, something is broken—very broken”
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
The SRO provides two steps to check on registration/exemption status
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