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CPO/CTA Rules & Regulatory Actions

This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
RELEASE Number 8062-19 October 24, 2019   CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
RELEASE Number 8053-19 October 16, 2019   CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
RELEASE Number 8052-19 October 15, 2019   Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Prospective customers lured by disseminating fraudulent marketing materials
“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities
Failure to file timely reports
Thompson induced two customers to send roughly $7 million to fund the purchase of bitcoin after making false representations
The CFTC has paid out more than $90 million in awards since establishing the Whistleblower Program
The order requires assesses a $140,000 civil monetary penalty
Promised pool participants 8%-20% returns, lost $1.4 million
The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains ...
Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing a final rule to amend the position limit rules applicable to security futures products (“SFP”) ...

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