Commodity Futures Trading Commission (CFTC)

Today’s final staff report regarding the swap dealer de minimis exception contains no recommendations to the Commission. That is not helpful. However, I understand that ...

The CFTC’s Complaint had alleged that between August 2008 and March 12, 2014, the Lebens, by and through the commodity pool Structured Finance Group Corporation ...

Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (“Proposal”). The regulation that ...

Collins and Suite, through their company, STA Opus, fraudulently solicited customers by falsely representing that STA Opus’ commodity pool had positive annual rates of return, ...

Although Federal Reserve accounts for customer funds held by systemically important clearinghouses do not exist today, they are allowed under the Dodd-Frank Act, and we ...

I do not think that the staff of the Commission should be supporting this kind of “window dressing” – giving the impression of greater security ...

The Division will not recommend an enforcement action under Regulation 1.25 against an FCM that continues to invest, on or after October 14, 2016, its ...

As a result of the fact that under revised Rule 2a-7(c)(2)(i), a Prime Fund might suspend redemptions for up to 10 days, the Division believes ...