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Commodity Futures Trading Commission (CFTC)

LJM’s central trading strategy relied primarily on selling options on S&P 500 futures and collecting the premiums (also called a short volatility strategy). Selling options ...
A CFTC final rule amending Form CPO-PQR last fall precipitated the new FAQs
A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...
Individual B, who at that time was a SummerHaven partner and SummerHaven’s Chief Compliance Officer, approved the decision, and told SummerHaven employees that the transactions ...
The Commission is revising part 190 comprehensively in light of several major changes to the industry over the 37 years since part 190 was first ...
ISDA requests that the Divisions maintain the status quo prior to Brexit by (i) allowing U.S. SDs to continue to treat the UK as one ...
“Climate change poses a major threat to U.S. financial stability, and I believe we must move urgently and assertively in utilizing our wide-ranging and flexible ...
At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...
The Final Rule establishes two exemptions from the trade execution requirement for swaps, both of which are linked to the Commission’s exemptions from, and exceptions ...
To alleviate the operational burdens associated with making de minimis margin transfers without resulting in an unacceptable level of uncollateralized credit risk, our rules provide ...
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