Release Number 8972-24 Written by: Braden Perry Partner Kennyhertz Perry [email protected]. The recent CFTC Order (Release Number 8972-24) and the Dissenting Statement by Commissioner Mersinger raise significant questions about how…
Written by: Renato Mariotti and Maggie DePoy, Paul Hastings LLP Self-regulatory organizations, including futures exchanges, could face aggressive challenges in the wake of the SEC v. Jarkesy decision, which provides a new avenue…
Written by: Joe Schifano, Global Head of Regulatory Affairs at Eventus In recent years, the financial industry has faced mounting pressure from regulators, driving significant transformation within compliance functions. At the…
Release Number 8935-24 Washington, D.C. — The Commodity Futures Trading Commission today announced it approved final rules amending Part 48 of its regulations. The final rules permit a foreign board…
Notice to Members RE: Notice of Proposed Rulemaking: Foreign Boards of Trade (RIN 3038-AF37) - 89 Fed. Reg. 15083 April 22, 2024 Mr. Kirkpatrick: NIBA appreciates the opportunity to comment…
Notice to Members I-24-02 Member obligations under NFA Bylaw 1101 and Compliance Rule 2-36(d) with respect to CPOs/CTAs exempt from registration January 29, 2024 The CFTC requires any person that…
The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an…
Introducing Brokers are seeing the impact of the CFTC’s and NFA’s investigations into “off channel communications”. Since December 2021, the CFTC has imposed $1.117 billion in civil monetary penalties on…
The Commodity Futures Trading Commission (CFTC) Division of Enforcement recently released a new advisory to its staff related to penalties, corporate compliance monitors and consultants, and admissions in CFTC enforcement…
