Search for: "UNITED STATES COMMODITY FUTURES TRADING COMMISSION"
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CFTC Accuses Peregrine Financial Group of Securities Fraud Related to $200M Customer Funds Shortfall
10 Jul 2012, 2:06 pm
The Commission filed its securities fraud complaint against the registered futures commission merchant in the United States District Court for the Northern District of Illinois. [read post]
30 Oct 2019, 5:23 pm
To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than their recent words and deeds. [read post]
30 Oct 2019, 5:23 pm
To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than their recent words and deeds. [read post]
11 Aug 2023, 9:37 am
Commodity Futures in the News Recently, the Commodity Futures Trading Commission issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM), who are affiliated with four financial institutions. [read post]
11 Jun 2011, 2:11 pm
As such, the CFTC will have access to information on registered advisers trading commodity interests through Form PF and will be able to use information obtained through Form PF to assist with its regulatory programs. [read post]
17 Mar 2015, 6:18 am
On February 27, 2015, the Board of Governors of the Federal Reserve System (the “Federal Reserve”), the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and the Commodity Futures Trading Commission (collectively, the “Agencies”) provided an important addition to their existing list of Frequently Asked Questions (“FAQs”) addressing the… [read post]
22 Oct 2020, 4:00 am
Detroit Publishing Co., Technology Library, the New York Public Library, Library of Congress Prints and Photographs Division //hdl.loc.gov/loc.pnp/det.4a24348 Federal Law Resources Much of the regulatory activity at the federal level regarding cryptocurrency has been overseen by the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC). [read post]
26 Jun 2022, 9:05 pm
” A later provision in Title IV similarly states, “Notwithstanding any other provision of law, the Commodity Futures Trading Commission shall have exclusive jurisdiction over the regulation and all other activities of a registered digital asset exchange. [read post]
2 Dec 2008, 7:42 pm
Commodity Futures Trading Commission ................. [read post]
25 Oct 2022, 10:46 am
In general, all securities offered in the United States must be registered with the SEC or must qualify for an exemption from the registration requirements. [read post]
7 Oct 2014, 11:32 am
The panelists included Janis Kestenbaum from the Federal Trade Commission, Jennifer Glasgow from Acxiom, and Pam Dixon from the World Privacy Forum. [read post]
14 Jan 2010, 9:15 pm
The term “eligible contract participant” is important with regard to managers who provide advice on futures and commodities investments (including off-exchange spot foreign currency or “forex”). [read post]
20 Feb 2019, 8:18 pm
In 2018, regulators such as the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) reacted to the cryptocurrency marketplace with heightened attention. [read post]
In anticipation of Brexit, US regulators address status of certain swaps under the Swaps Margin Rule
1 Apr 2019, 2:28 pm
If passporting no longer is available, some UK financial services firms may need to transfer their swaps with EU counterparties to an affiliate or other firm located in the EU or the United States. [read post]
12 Mar 2015, 8:40 am
United States Commodity Futures Trading Commission remanding eight swaps-related rulemakings to the CFTC to address what the court held to be inadequacies in the CFTC’s explanation of its consideration of costs and benefits in those rulemakings, in particular in connection with cross-border activities. [read post]
30 Apr 2018, 2:19 pm
Commodity Futures Trading Commission in Commodity Futures Trading Commission v. [read post]
8 Dec 2020, 5:24 am
This list includes links to the federal agencies that have, so far, been issuing regulatory guidance, including the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC). [read post]
5 Jan 2012, 8:57 am
Commodity Futures Trading Commission (“CFTC”) recently promulgated rules requiring the registration of foreign boards of trade (“FBOTs”) that provide U.S. members and participants with direct access to the FBOTs’ electronic trading and order matching systems (see WSLR, December 2011, page 8). [read post]
24 Mar 2016, 2:01 pm
Commodity Futures Trading Commission surrounding conflicts of interest in the way it sold its own investment products. [read post]
5 Nov 2011, 7:27 am
The Commodity Futures Trading Commission also brought charges against Kim in February 2011, charging him with violations of the Commodity Exchange Act and seeking relief including permanent injunctions and disgorgement of ill-gotten gains. [read post]
