Just five days before the CFTC’s position limits’ exemption rule was to take effect, the agency responded to industry concerns and announced a two-year delay ...
The votes were unanimous Aug. 3. The Senate confirmed J. Christopher Giancarlo as CFTC chairman and added Brian Quintenz and Russ Behnam (CPO/CTA Watch, June ...
Signs point to the CFTC going ahead with its new requirement that firms alert the Commission if they qualify for an exemption from the new ...
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
Acting CFTC chairman J. Christopher Giancarlo has long flagged fixing swaps data reporting as a key Commission priority (CPO/CTA Watch, March 16, 2017). The CFTC’s ...
Even though Daniel Winston LaMarco calls a prison cell home, he’ll have to deal with the CFTC charging him with running a Ponzi scheme and ...
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told ...
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...
Washington’s glacial pace – slowed by partisan bickering – has claimed another victim. CFTC Commissioner Sharon Bowen was due to leave her seat in ...
The membership of the CFTC may be a shell of its full size (see related story), but Acting Chairman Christopher Giancarlo promised June 22 that ...