Unfortunately, the rule before us is a considerable retreat from the September proposal. This final rule provides an exemption for swap dealers, excusing them from ...
Today’s final rule regarding margin requirements for uncleared swaps is far from perfect. The Commission had the unenviable task of harmonizing its rule with the ...
The risk to American businesses and the economy is dramatic. And the interconnectedness of our financial institutions and markets means that a failure in one ...
So if all of this is happening, what would more regulation accomplish? In other words, what is the “value add” of the rules being proposed ...
As market regulators, we can have no naïve illusions that cyber belligerents – foreign and domestic – view the world’s financial markets as anything other ...
I won’t attempt to preview all that we will be doing next year, but I know we will get off to a busy start. I ...
The Order arises out of a CFTC Complaint, filed on November 19, 2014, charging Gillons with fraudulent solicitation and misappropriation of customer funds and accepting ...
Extension of relief provided in CFTC Staff Letter No. 14-147, which relieves CTAs from the requirement to record oral communications under Regulation 1.35(a) and relief ...
I would like to highlight a few of the CFTC’s priorities that are particularly relevant to the FSOC. The first area is the implementation of ...
According to the CFTC’s Order, Ovsepyan was the sole owner and operator of Sharpe and Haeres, which provided trading advisory services to managed accounts in ...