Hameed Shuja1 min read
Kevin Kinsella2 min read
Alexander Barzacanos1 min read
Thomas Hyrkiel5 min read
Carmen Cracknell2 min read
Julie DiMauro5 min read
GRIP2 min read
Hameed Shuja7 min read
Thomas Hyrkiel5 min read
Designated contract market members and swap execution facilities are required to produce for inspection all documents on which trade information is originally recorded.
Pre-trade communications
All firms are required to keep all oral and written communications provided or received concerning quotes, solicitations, bids, offers, instructions, trading, and prices that lead to the execution of a transaction in a commodity or future.
The communications covered include telephone, voicemail, fax, instant messaging, chat, electronic mail, mobile device or other digital or electronic media.
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
The long-awaited draft bill hands the CFTC the biggest role in overseeing digital assets, marking a major step in clarifying who polices crypto and how.
Julie DiMauro4 min read
The significance of US legislation and the risk-management imperative.
Julie DiMauro3 min read
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
Further Reading