Commodity Futures Trading Commission (CFTC)

This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...

A new CFTCfinal rule mandates that certain types of CTAs and other entities will have to put into place tape recording systems to preserve conversations ...

The Investment Company Institute and the U.S. Chamber of Commerce have announced they plan to appeal last month's loss in challenging the CFTC's new rule ...

This guidance from the CFTC, released in 2013, concerns cross-border application of the swap provisions of the Commodity Exchange Act.

This exemptive order from the CFTC, released in January 2013, would permit a non-U.S. person that registers as a swap dealer or major swap participant ...

The CFTC announces the deadline extension for certain compliance requirements for Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants. The new ...

This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...

This is a final rule adopted by the CFTC that would force commodity trading advisors (CTAs) and others to tape record conversations related to the ...

Another week, another no-action letter from the CFTC as the Dec. 31st deadline for CPO/CTA registration nears (IA Watch, Dec. 10, 2012). This time the ...