Search for: "U.S. Commodity Futures Trading Commission"
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25 Jul 2019, 11:47 am
Commodity Futures Trading Commission (CFTC) in a trial involving a fraudulent precious metals scheme allegedly perpetrated by Robert Escobio of Miami, Florida, reportedly through his companies Southern Trust Metals, Inc. and Loreley Overseas Corporation. [read post]
23 Jul 2019, 4:30 pm
Last year, Steve Bannon, then White House chief strategist, boasted that digital currencies “are the future. [read post]
17 Jul 2019, 10:32 am
Industry Developments SPOTLIGHT: U.S. [read post]
16 Jul 2019, 10:18 am
The proposals address the application of security-based swap transaction requirements to non-U.S. entities with U.S. personnel involved in “arranging, negotiating or executing the swaps,” and is intended to align the SEC’s regulatory regime with that of the Commodity Futures Trading Commission. [read post]
15 Jul 2019, 3:32 pm
On July 9, 2019, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, and the Commodity Futures Trading Commission (collectively, the Agencies), announced that it had finalized a February 2019 proposed rule to make two amendments to the Volcker Rule that had been mandated by the May 2018 Economic Growth, Regulatory Relief, and… [read post]
14 Jul 2019, 5:17 pm
On Thursday, the Commodity Futures Trading Commission (CFTC) held an open meeting to consider: Supplemental Proposal on Exemption from Derivatives Clearing Organization Registration Proposed Rule on Registration with Alternative Compliance for Non-U.S. [read post]
10 Jul 2019, 10:42 am
Commodity Futures Trading Commission (CFTC) Commissioner publicly stated his view that smart contract developers should be accountable when they could “reasonably foresee” that people would later use their code in a way that violated the law. [read post]
25 Jun 2019, 9:05 pm
Commodity Futures Trading Commission) has taken a fairly relaxed approach to equity crowdfunding oversight. [read post]
24 Jun 2019, 8:04 am
Commodity Futures Trading Commission (CFTC) Chairman J. [read post]
24 Jun 2019, 7:19 am
” CFTC Commissioner Brian Quintenz, the point person at the Commodity Futures Trading Commission, also weighed in, noting, “This SEC final rule represents a gigantic leap forward in the harmonization of swap dealer and security-based swap dealer regulations. [read post]
19 Jun 2019, 10:46 am
Commodity Futures Trading Commission [read post]
13 Jun 2019, 6:22 am
In October 2010, under the authority of the Dodd-Frank Act, the Commodity Futures Trading Commission (CFTC) capped the amount of leverage brokers can provide to U.S. traders at 50:1 on all major currency pairs and 20:1 on others. [read post]
7 Jun 2019, 10:06 am
Tarbert as the new Chairman of the Commodity Futures Trading Commission (“CFTC”). [read post]
20 May 2019, 1:48 pm
Securities and Exchange Commission and the U.S. [read post]
17 May 2019, 3:00 am
Peirce, U.S. [read post]
10 May 2019, 7:05 am
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps administered by the Commission with… [read post]
8 May 2019, 12:36 pm
Commodity Futures Trading Commission (CFTC) Chairman Christopher Giancarlo. [read post]
22 Apr 2019, 4:53 pm
These new rules will go into effect on January 1, 2020 and will require all Associated Persons who engage in, or supervise activities involving, swaps at futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisers, swap dealers, and major swap participants to take and pass a proficiency exam. [read post]
2 Apr 2019, 10:45 am
During your time at the Institute, you will hear from the SEC’s experts on a wide variety of subject matters, and you will also receive presentations from staff at the World Bank, the Commodity Futures Trading Commission, and the Financial Industry Regulatory Authority. [read post]
2 Apr 2019, 6:08 am
Commodity Futures Trading Commission (“CFTC” or the “Commission”) issued an Enforcement Advisory applicable to non-registered companies and individuals regarding its cooperation and self-reporting program specifically relating to violations of the Commodity Exchange Act (“CEA”) that involve foreign corrupt practices (the “CFTC Foreign Corrupt Practices Advisory” or the “Advisory”). [1]… [read post]
