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 ...
Like the SEC, the CFTC has now imposed over $1 billion in penalties for charges tied to offline communications violations
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"
It’s unusual for the CFTC to revoke a large firm’s registration, especially for violations of regulatory laws overseen by another regulator
"By now you’d think the NFA would have had a rule in place that prohibits fraud around the use of Bitcoin and Ether. But it ...
The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...