Commodity Futures Trading Commission (CFTC)

DLT is likely to have a broad impact on global financial markets in payments, banking, securities settlement, title recording, cyber security and trade reporting and ...

Our budget is simply not proportionate to the responsibilities we face. The President’s budget request would change that. This budget will give us the resources ...

The Order further finds that Schleifer made numerous false statements and misrepresentations to the National Futures Association (NFA) during routine NFA audits, including falsely stating ...

In this April 2016 CFTC NAL, the Division is granting two components of no-action relief. The first component, described in Section I below, extends no-action ...

In response to the February 2016 FIA Letter, the Division is providing relief, via this no-action letter (the “April 2016 CFTC NAL”), from reporting certain ...

You state that the cost of performing a two-year audit for the Pool, which has since wound up and returned all investments, would be very ...

The relief granted in this letter is conditioned on the CPO’s distribution to the Pools’ participants, and filing with NFA, of Annual Reports containing combined ...

Whistleblower awards from the CFTC’s Whistleblower Office have been particularly paltry in relation to the agency’s SEC counterpart. The program took a big step up ...

The Division understands, however, based upon the representations made in your letter, that requiring the Pool to expend its resources auditing the financial statements contained ...

You request on behalf of “A”, the commodity pool operator (the “CPO”) for “B” (the “Pool”), relief from Commission Regulations 4.7(b)(3) and 4.22(d),1 which require ...