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Topic: CFTC

Proposed Cybersecurity Guidance from NFA Stresses Flexibility

September 11, 2015
The proposed cybersecurity guidance from the National Futures Association offers recommendations that will help commodity trading advisers, commodity pool operators and other futures industry participants protect their firms – and it does so without being prescriptive.

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New CFTC Enforcement Chief

June 13, 2014
Aitan Goelman is the new CFTC director of the Division of Enforcement. He was appointed to the post on June 10 by CFTC chairman Timothy Massad, who himself was sworn in to his position only the week before.

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2015 Budget Proposal: SEC Gets a Number It Likes, CFTC Not So Much

March 7, 2014
The Obama Administration released its proposed fiscal year 2015 budget on March 4. While increases for both the SEC and the CFTC were requested, the CFTC’s request is lower than the administration’s 2014 request – and at least one CFTC commissioner is not happy.

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New CFTC Working Group Will Review Regulatory Reporting

January 24, 2014
A new interdivisional working group at the CFTC will review certain swaps transaction data recordkeeping and reporting provisions, CFTC acting chairman Mark Wetjen announced January 21.

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Wetjen Named Acting CFTC Chairman

December 21, 2013


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CFTC Commissioner Appointed to Global Position

December 12, 2013


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CFTC Acting Enforcement Director Named

October 4, 2013


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New CFTC Market Oversight Director

September 20, 2013


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CFTC Accepts SEC Compliance for Registered Investment Company CPOs Required to Dually Register

August 16, 2013


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Two New SEC Commissioners Confirmed; White’s Term Extended

August 3, 2013


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CTAs That Work with FCMs Advised to Scrutinize

July 5, 2013


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CFTC No-Action Relief Keeps Coming

December 24, 2012


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CFTC Unleashes a Cavalcade of Swaps-related No-Action Relief

December 17, 2012


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IM Posts Advisers Act Exemption Guidance for CFTC-Registered Advisers

December 12, 2012


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ACA Library – October 12 CFTC No-Action Relief and Guidance

October 26, 2012


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Are Stable Value Contracts Swaps? The CFTC and SEC Want to Know What You Think

October 14, 2012


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Federal Judge Strikes Down CFTC’s Position Limits Rule for Derivatives

October 14, 2012


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Everything You Need to Know About CFTC/NFA Registration

September 19, 2012


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CFTC Issues FAQ Guidance Regarding CPO and CTA Registration Obligations

September 12, 2012


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SEC and CFTC Approve Definitions for Swaps, Security-Based Swaps, and Mixed Swaps

July 29, 2012


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