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28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
23 Feb 2024, 9:05 pm
The Federal Trade Commission (FTC) should adapt the existing regulatory regime used for tobacco advertising into a federal framework for sports gambling, suggests practitioner Cole Eisenshtadt in an article for the Administrative Law Review. [read post]
16 Feb 2024, 3:11 pm
Yesterday (February 15), the Commodity Futures Trading Commission (CFTC) named Brian Young as the new director of the CFTC’s Whistleblower Office. [read post]
16 Feb 2024, 10:51 am
On February 15, the Commodity Futures Trading Commission (CFTC) announced that Brian Young has been named as the new director of the CFTC Whistleblower Office. [read post]
16 Feb 2024, 7:04 am
The Commodity Futures Trading Commission’s Whistleblower Office has a new director, Brian Young. [read post]
13 Feb 2024, 1:02 pm
With Valentine’s Day upon us, the Commodity Futures Trading Commission (CFTC) last week (February 8) issued an Advisory Alert warning for those seeking romance to tread carefully on dating apps and social media. [read post]
13 Feb 2024, 9:09 am
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state registered investment advisers and ERAs that are… [read post]
11 Feb 2024, 5:00 pm
NetChoice, the Silicon Valley trade group behind both cases, argues in its briefs that content moderation by social media platforms is the First Amendment equivalent of editorial discretion by a newspaper, and that state regulation of this editorial discretion in either context is anathema. [read post]
8 Feb 2024, 9:01 pm
In response to the 2008 crisis, Congress mandated that the SEC and the Commodity Futures Trading Commission (CFTC) adopt rules to establish reporting requirements for private funds. [read post]
5 Feb 2024, 4:46 am
Commodity Futures Trading Commission during Trump’s tenure, was shot last Monday. [read post]
31 Jan 2024, 7:04 am
The Commodity Futures Trading Commission (CFTC) experienced record-breaking numbers in FY 2023, both in the number of whistleblower tips received and in the number of digital asset enforcement cases initiated. [read post]
30 Jan 2024, 9:02 pm
”[24] The court continued by observing that: [H]ere, the Provision is used by an agency of the federal government to shield itself from public view. [read post]
30 Jan 2024, 5:50 am
The RFC specifically asks for feedback about AI use in CFTC-regulated markets and avoids broader queries about AI, dividing its 20 questions between current and potential uses of AI, including its scope and its risks to CFTC-regulated entities: derivatives clearing organizations, futures commission merchants, swap dealers, swap execution facilities, designated contract markets, and other derivatives market participants. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
23 Jan 2024, 1:11 pm
Commodity Futures Trading Commission (CFTC) Whistleblower Office posted a Notice of Covered Action (NCA) for a December enforcement action in which a California resident and his corporation agreed to pay over $5 Million for engaging in a romance fraud scheme. [read post]
19 Jan 2024, 10:34 am
Freepoint also agreed to disgorge more than $7.6 million to the Commodity Futures Trading Commission (CFTC) in a related matter. 4 — Corficolombiana ($80M). [read post]
17 Jan 2024, 11:25 am
According to a leading whistleblower attorney, the Commodity Futures Trading Commission (CFTC) Whistleblower Program is key to the United States’ efforts to police cryptocurrency, but Congress must pass a bill to save the program from financial collapse. [read post]
