Search for: "U.S. Commodity Futures Trading Commission"
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2 Apr 2020, 4:14 pm
COMMODITY FUTURES Business Not as Usual: regulators and top attorneys provide guidance on COVID-19 related issues Long-time futures industry attorney Gary DeWaal recently moderated a webinar titled Business Not as Usual: Practical and Regulatory Responses to COVID-19 for the US Financial Services Industry. [read post]
22 Mar 2020, 5:51 pm
Commodity Futures Trading Commission often causes panic by the recipient given the civil and criminal penalties associated with Commodities Exchange Act violations. [read post]
12 Mar 2020, 3:50 am
Commodity Futures Trading Commission, arguing that “the CFTC’s ambiguity about the ambiguity that underlies its regulatory position has denied the petitioners their due process right to know the legal basis of the charges against them. [read post]
6 Mar 2020, 11:19 am
Investors who attempt to buy HoweyCoin are instead redirected to educational tools published by the SEC and other regulators such as the Commodity Futures Trading Commission and the Consumer Financial Protection Bureau. [read post]
5 Mar 2020, 12:19 pm
Commodity Futures Trading Commission 19-933Issues: (1) Whether 7 U.S.C. [read post]
25 Feb 2020, 8:53 am
The particular remedy sought here – disgorgement in a judicial proceeding brought by the SEC – does not appear on the face of the statute, though disgorgement is authorized explicitly in two adjacent bodies of law: The 1990 Securities Enforcement Remedies and Penny Stock Reform Act allows the SEC to seek disgorgement in administrative proceedings, and the Dodd-Frank Act recently empowered the Commodity Futures Trading Commission and the Consumer… [read post]
16 Feb 2020, 9:01 pm
Even statutes that empower the chair to make certain decisions, as is the case for the Commodity Futures Trading Commission, sometimes require approval from the rest of the commission. [read post]
12 Feb 2020, 10:00 am
Similar circumstances have played out at the Commodity Futures Trading Commission, the Federal Energy Regulatory Commission and the Securities and Exchange Commission, as unfilled positions forced the agencies to push off addressing any difficult, politically fraught issues until the full complement of commissioners had been seated. [read post]
6 Feb 2020, 10:00 pm
The agency regulating crypto-commodities will be the Commodity Futures Trading Commission (CFTC). [read post]
29 Jan 2020, 9:26 am
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [read post]
27 Jan 2020, 1:41 pm
” – The Commodity Futures Trading Commission alerted the public that it needs whistleblowers to provide information about difficult-to-detect bribes and corruption of foreign officials. [read post]
26 Jan 2020, 11:44 am
“The former chair of the Commodity Futures Trading Commission (CFTC) has partnered with Accenture to create the non-profit Digital Dollar Project, which plans to explore the creation of a U.S. [read post]
23 Jan 2020, 10:54 pm
Commodity Futures Trading Commission (“CFTC”) as commodity pool operators (“CPOs”) or commodity trading advisors (“CTAs”). [read post]
23 Jan 2020, 5:00 am
The Financial Industry Regulatory Authority (FINRA) regulates OTC markets under the supervision of the Securities and Exchange Commission (SEC),[2] meaning in the United States an FTT could include OTC transactions in its base. [read post]
13 Jan 2020, 11:09 am
Recoveries by the government for fraud against non-governmental entities, such as by the Securities and Exchange Commission or Commodity Futures Trading Commission. [read post]
8 Jan 2020, 2:50 pm
Commodity Futures Trading Commission Three divisions of the U.S. [read post]
3 Jan 2020, 9:05 pm
“If Congress is going to regulate sports betting, Congress must do so directly via conferral of regulatory power to a federal agency like the Commodity Futures Trading Commission, Federal Trade Commission, or Securities and Exchange Commission,” he concludes. [read post]
3 Jan 2020, 5:35 am
Reports also suggest that Chinese leaders consider the deal a huge victory—and one that justifies a hardline approach to future U.S. trade talks. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
23 Dec 2019, 8:15 am
Commodity Futures Trading Commission (CFTC) announced that it will award more than $1 million to an individual whose tip helped expose a securities fraud scheme and eventually led to the CFTC filing charges. [read post]
