This rule harmonizes recordkeeping requirements for those firms regulated by both the CFTC and SEC.
The highest level of timeliness is expected in connection with a firm’s response to a production request by the CFTC.
The advisory group will draw on industry heavyweights and public interest commentators to explore how new technologies can benefit markets and investors.
Alexander Barzacanos1 min read
Speakers emphasized technology‑neutral and principles‑based regulation, teased on new policies to come, or raised red flags.
Julie DiMauro5 min read
Some industry insiders weigh in on what we can expect for the coming year.
Carmen Cracknell2 min read
Our roundup of key crypto regulation stories.
Carmen Cracknell2 min read
The policy shift involves procedural changes to adjudication, settlement recommendations, and Wells notice practice.
Alexander Barzacanos1 min read
The CFTC's Market Participants Division’s latest letter clarifies how futures commission merchants can use customer securities at foreign intermediaries.
Alexander Barzacanos1 min read
The scheme targeted elderly victims by convincing them to purchase significantly marked-up silver coins with their retirement savings.
Catherine Ollinger1 min read
Brookings fellow and former CFTC chair says lawyers will exploit complexities in the current structure to reduce their clients' compliance burden.
Carmen Cracknell2 min read
Further Reading