The CFTC proposes updating the Portfolio Requirement thresholds within the 'Qualified Eligible Person' definition; (2) requiring CPOs and CTAs operating pools and trading programs to ...
The CFTC proposes changes in how how registered entities submit self-certifications, and requests for approval, of their rules, rule amendments, and new products for trading ...
The CFTC proposes to to eliminate a provision disqualifying the securities issued by certain pooled investment funds that transfer their assets through securities lending, securities ...
The CFTC seeks comments on the adoption of certain risk management programs, including
the governance and structure of such programs, the enumerated risks these programs must ...
The CFTC adopts rules to require derivatives clearing organizations (DCOs) to establish and consult with one or more risk management committees comprised of clearing members ...
This request for comment seeks to better inform the staff’s understanding of these issues and seeks input on possible mitigating measures
"Goldman failed to communicate in a fair and balanced manner based on principles of fair dealing and good faith"
This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...
Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...
Until June 30, 2023 enforcement action won't be recommended against any person for a failure to comply with the IRS Clearing Requirement when making a ...