Search for: "US COMMODITY FUTURES TRADING COMMISSION"
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4 Jun 2020, 10:00 pm
The US Commodity Futures Trading Commission has approved an interim final rule extending the Phase 5 initial margin compliance deadline for uncleared swaps by one year. [read post]
11 May 2020, 10:00 pm
The US Commodity Futures Trading Commission recently issued more no-action letters in response to the coronavirus (COVID-19) pandemic, providing relief from capital requirements and fingerprint requirements. [read post]
5 Dec 2011, 8:32 am
The Commodity Futures Trading Commission's new rule will limit how the brokerage industry can invest customer money, largely barring firms from using client funds to buy foreign sovereign debt. [read post]
4 Jun 2020, 10:00 pm
The US Commodity Futures Trading Commission has approved an interim final rule extending the Phase 5 initial margin compliance deadline for uncleared swaps by one year. [read post]
11 May 2020, 10:00 pm
The US Commodity Futures Trading Commission recently issued more no-action letters in response to the coronavirus (COVID-19) pandemic, providing relief from capital requirements and fingerprint requirements. [read post]
8 Apr 2016, 7:19 am
On April 4, 2016, the Commodity Futures Trading Commission (“CFTC”) announced a $10 million whistleblower bounty, its largest to date. [read post]
21 May 2007, 6:44 am
Board of Trade (06-1265) [docket; cert. petition, PDF] the court will consider whether "futures commission merchants," firms that handle trade on commodities markets, have standing to sue under the private losses section [read post]
15 Apr 2011, 11:42 am
The Commodity Futures Trading Commission (CFTC) filed suit against New Century Investment Management LLC of Southampton, Pennsylvania, and its principal, Ward Onsa of Marco Island, Florida, on April 5, 2011. [read post]
13 Jun 2008, 10:35 pm
In a May 21 opinion US District Court Judge Denny Chin denied defendants Amaranth Advisors' and natural gas trader Brian Hunter's motion to dismiss the Commodity Futures Exchange Commission's (CFTC) complaint against them alleging attempted price manipulation in violation of §13(a)(2) of the Commodity Exchange Act (CEA). [read post]
15 Oct 2007, 4:00 pm
Commodity Futures Trading Commission (CFTC) ordered Interactive Brokers LLC (IBL) to relinquish $175,000 in commissions, for failing to properly supervise its compliance employees while handling a commodity futures trading account. [read post]
17 Jul 2009, 7:05 am
[JURIST] Finance expert William Brodsky [FIA profile] on Friday called for the merger [testimony, PDF] of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) [official websites]. [read post]
2 Jun 2017, 2:20 pm
On May 22, 2017, the Commodity Futures Trading Commission (“CFTC”) amended Part 165 of its regulations, which govern whistleblower incentives and protections. [read post]
16 Jul 2013, 7:21 am
On July 11, the European Commission (EC) issued a memorandum announcing its agreement with the United States Commodity Futures Trading Commission (CFTC) relating to their joint understanding on a package of measures for regulating cross-border derivatives. [read post]
9 Dec 2010, 1:43 pm
The Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) on December 8, 2010, jointly proposed rules to define “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant,” and “eligible contract participant” as these terms are used in amendments to the Commodity Exchange Act (CEA) and… [read post]
31 May 2023, 8:58 am
The Commodity Futures Trading Commission (CFTC) has a whistleblower program for commodity trade insiders who can provide material evidence or testimony of company violations involving the Commodity Exchange Act (CEA) and other securities and investment regulations. [read post]
30 Mar 2022, 12:13 pm
On March 16, the Chairman of the Commodity Futures Trading Commission (CFTC), Rostin Behnam, gave the keynote address at the Futures Industry Association’s (FIA) 2022 International Futures Industry Conference. [read post]
15 May 2009, 5:05 pm
As we have discussed previously, if a hedge fund manager invests fund assets in commodity interests (including futures), then the manager will generally need to be registered as a commodity pool operator (CPO) with the Commodity Futures Trading Commission (CFTC). [read post]
15 Aug 2016, 9:36 am
Commodity Futures Trading Commission (CFTC) announced three separate enhancements relating to the protection of customer funds. [read post]
2 Aug 2021, 1:12 pm
Although insider trading is clearly illegal, it is hard to detect without the participation of whistleblowers who collaborate with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading (CFTC). [read post]
24 Oct 2019, 6:54 am
The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC) today announced joining the Global Financial Innovation…Read the Full Press ReleaseHave a securities law question? [read post]
