Search for: "U.S. Commodity Futures Trading Commission"
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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]
13 Jul 2016, 10:12 am
Commodity Futures Trading Commission (CFTC) adopted rules that amended the CFTC’s existing swap reporting requirements to provide additional clarity with respect to the reporting of cleared swap transactions. [read post]
2 Oct 2014, 9:30 pm
Commodity Futures Trading Commission (CFTC) announced a public meeting on digital currency and Bitcoin. [read post]
2 Oct 2014, 9:30 pm
Commodity Futures Trading Commission (CFTC) announced a public meeting on digital currency and Bitcoin. [read post]
23 Jul 2022, 12:36 pm
The SEC is adding rules and changing definitions, then suing people for violating rules or definitions that did not exist at the time of their conduct.And in case you think I am simply a securities defense attorney arguing defenses, CNBC is reporting:Caroline Pham, commissioner of the Commodity Futures Trading Commission, also weighed in on the case Thursday, calling the SEC securities fraud charges a “striking example of ‘regulation by enforcement. [read post]
13 Oct 2015, 1:37 pm
Those cases received a boost today as the SEC announced that UBS AG has agreed to pay $19.5 million to settle charges that it made false or misleading statements and omissions in offering materials provided to U.S. investors in structured notes linked to a proprietary foreign exchange trading strategy.Structured notes are complex financial products that typically consiss of a debt security with a derivative tied to the performance of other securities, commodities,… [read post]
27 Dec 2012, 9:30 pm
The U.S. [read post]
17 Jan 2018, 1:55 pm
” Meanwhile, the Commodities Futures Trading Commission, another federal agency and the regulator for high risk derivatives, is looking to regulate bitcoin and other cryptocurrencies as commodities. [read post]
8 May 2023, 8:14 am
Commodity Futures Trading Commission (CFTC) in a legal action that accuses the company and founder/CEO Changpeng Zhao of circumventing U.S. compliance rules to boost profits. [read post]
28 Dec 2013, 7:01 pm
Commodity Futures Trading Commission issued final rules implementing section 619, which become effective on April 1, 2014 (Final Rule). [read post]
11 Aug 2022, 9:50 am
Individuals can disclose information relevant to potential FCPA violations to either the SEC or the Commodity Futures Trading Commission (CFTC). [read post]
14 Aug 2020, 8:48 am
In parallel actions, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) hit Interactive Brokers with penalties of $11.5 million and $15 million, respectively. [read post]
1 Oct 2017, 3:22 pm
An Overview of the U.S. [read post]
9 Dec 2011, 12:00 am
In the wake of the collapse of the brokerage firm MF Global, the Commodity Futures Trading Commission (CFTC) unanimously finalized a rule further limiting how firms can invest their customers’ funds. [read post]
23 Aug 2012, 9:30 pm
The Commodity Futures Trading Commission (CFTC) set up a new website for swap data registrants. [read post]
27 Sep 2018, 11:11 am
Combined with another first-ever ruling earlier this year in Commodity Futures Trading Commission v. [read post]
24 May 2011, 12:56 pm
The Commodity Futures Trading Commission also found itself short-staffed, and is currently looking to fill at least eight lawyer vacancies – but it’s doing so on its own, without a headhunter. [read post]
10 May 2018, 6:21 am
” [3] Under Chairman Chris Giancarlo, our sister agency—the Commodity Futures Trading Commission—has launched Lab CFTC, which “is designed to be the hub for the agency’s engagement with the FinTech innovation community. [read post]
21 Jan 2010, 6:36 am
Commodity Futures Trading Commission v. [read post]
24 Jul 2012, 10:27 am
Commodity Futures Trading Commission (the “CFTC”) in response to requested relief from certain new CFTC registration obligations, the CFTC granted temporary relief to commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”). [read post]
