Search for: "U.S. Commodity Futures Trading Commission"
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18 Sep 2022, 11:06 am
The framework encourages sectoral regulators such as the Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CFTC) to “aggressively pursue investigations and enforcement actions against unlawful practices in the digital assets space. [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]
7 Mar 2011, 6:56 pm
These limits must be aggregated across all markets in the same commodity, including contracts listed on foreign boards of trade that are linked to U.S. contracts. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
19 Mar 2024, 12:49 pm
Here is a copy of the complaint: https://www.sec.gov/files/litigation/complaints/2024/judgment-pr2024-37.pdf Jeffrey Newman is a whistleblower lawyer whose firm represents whistleblowers in healthcare fraud under the False Claims Act (FCA) also whistleblower claims brought under the SEC whistleblower program for violations of securities regulations including insider trading cases and similar claims under the Commodities Futures Trading Commission… [read post]
26 Apr 2012, 7:36 am
CFTC LAW | Forex, Futures and Derivatives Regulatory News - Forex, Futures, and Commodities News and Analysis. [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]
15 Aug 2022, 8:38 am
Pham also suggested that a future rulemaking consider the additional issues of trade execution and post-trade risk reduction.CFTC Commissioner Kristin N. [read post]
6 Jun 2022, 4:27 pm
” Commodity Futures Trading Commission (CFTC) On May 19, the CFTC charged several individuals for fraudulently soliciting at least $44 million for participation interests in a so-called “income fund” investing in digital assets and other instruments. [read post]
16 Feb 2018, 9:16 am
In recent months, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) have issued warnings to those involved in cryptocurrencies, initial coin offerings, and token generation events. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
27 Jan 2012, 12:00 am
The Commodity Futures Trading Commission (CFTC) conducted spot checks of the largest futures brokers, finding them to be in full compliance with asset maintenance and client fund protection regulations. [read post]
27 May 2015, 9:30 pm
Commodity Futures Trading Commission (CFTC) now shoulder. [read post]
15 Jul 2011, 12:19 pm
The definition of swap dealer included in the law may capture non-U.S. entities, including overseas banks, that engage in swaps with U.S. persons, exposing the entities to margin, clearing, capital, and reporting requirements imposed under Dodd-Frank by the Commodity Futures Trading Commission on top of being regulated in their home jurisdiction. [read post]
23 Apr 2020, 6:37 am
Commodity Futures Trading Commission each have whistleblower programs created under the Dodd-Frank Act. [read post]
28 Jun 2020, 5:05 am
It provides more than 50 recommendations for key financial regulators to adopt, including the Federal Reserve Bank (the Fed), the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CTFC), state and federal insurance regulators, the Federal Housing Finance Agency (FHFA), and the Financial Stability Oversight Council… [read post]
11 Oct 2011, 2:00 am
Under the Dodd-Frank Act, implementation of the Volcker Rule will be a joint effort of the Commodity Futures Trading Commission, the FDIC, the Federal Reserve Board, the Office of the Comptroller of the Currency and the Securities and Exchange Commission. [read post]
4 Apr 2023, 9:07 am
In news Nick Weaver will kick himself for missing, Binance is facing a bombshell complaint from the Commodities Futures Trading Commission (CFTC) (the Binance response is here). [read post]
20 Sep 2018, 6:19 am
FINRA’s action, coupled with recent joint statements by the Commodity Futures Trading Commission (“CFTC”) and the SEC addressing plans for heightened oversight of virtual currency regulation, reflect potential obstacles entities may face in dealing with cryptocurrency, or blockchain technology more broadly. [read post]
11 Mar 2024, 8:37 am
Now the Department plans to expand its use of that authority to fill gaps in the whistleblower programs operated by other agencies — including the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Internal Revenue Service, and the Treasury Department’s Financial Crimes Enforcement Network. [read post]
