Many advisers registered as commodity pool operators or trading advisors in the last year. Even those that have exemptions from registering with the CFTC must ...
The world's a small place. It's not uncommon for, say, an adviser in New York to manage a fund based in London that engages in ...
Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted ...
The CFTC last week avoided a fate that twice has befallen the SEC - having its rulemaking rejected for conducting deficient costs and benefits analyses. ...
As had been expected, the CFTC June 27 filed a civil lawsuit against MF Global, its former CEO Jon Corzine and the firm's former assistant ...
We put you on notice in February that commodity trading advisors will likely face quarterly reporting to the National Futures Association (IA Watch, Feb. 11, ...
This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...
A new CFTCfinal rule mandates that certain types of CTAs and other entities will have to put into place tape recording systems to preserve conversations ...
The Investment Company Institute and the U.S. Chamber of Commerce have announced they plan to appeal last month's loss in challenging the CFTC's new rule ...
Another week, another no-action letter from the CFTC as the Dec. 31st deadline for CPO/CTA registration nears (IA Watch, Dec. 10, 2012). This time the ...