Among the factors the Commission will weigh is whether the defendant held specialized knowledge, expertise, or was licensed in an industry related to the rule ...
The Commission is withdrawing the proposal to reconsider how the proposed rules work in practice with the operational resilience rules of other regulators
The latest gesture can be seen in a 'Joint Statement' issued by the two regulators to ease the ability to trade certain spot crypto assets
The technology fits with the Commission’s growing oversight of the derivatives markets, including crypto assets
The free 30-minute event will be held July 30, but you must register by July 28th
The firm’s former risk officer was ordered to pay $247,000 in fines related to the case
The initial relief permitted firms to avoid certain aggregation requirements under the CFTC's position limits
It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case ...
This guidance discusses the criteria that CFTC divisions will use to determine whether to make a referral to DOE for self-reported violations or supervision or ...
The staff's interpretation clarifies that swap dealers and major swap participants may post and collect with counterparties certain U.S. Treasury ETFs as initial margin and ...