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3/11/2025 6:45:50 PM

CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional Guidance on Self-Reporting and Cooperation

By Zachary Schmitz Carl Kennedy

During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman...

5/15/2024 7:13:56 PM

Codifying and Demystifying: The CFTC Adopts Amendments to Capital and Financial Reporting Requirements for Swap Dealers Largely Based on Prior Relief

By Carl Kennedy Robert Bourret

After adopting final rules in 2020, the Commodity Futures Trading Commission (CFTC) adopted amendments to the capital and financial...

1/18/2024 8:36:09 PM

How Resilient Are You? The CFTC Proposes Operational Resiliency Rules for FCMs, Swap Dealers and Major Swap Participants

By Carl Kennedy

Adopted partially in response to a 2023 cyberattack on a widely-used, third-party service provider to several financial services firms,...

12/20/2023 7:24:39 PM

CFTC Settles Enforcement Action Against Commodity Trading Firm for Alleged Fraud in Connection with Physical Commodity Trading Only – No Derivatives

By Dan Davis Carl Kennedy

Emphasizing its broad authority over fraud solely in connection with commodities – not just fraud in connection with derivatives...

10/19/2023 2:51:31 PM

Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry

By Carl Kennedy Dan Davis Alex Kim

It is no longer just lions, tigers and bears Dorothy needs to be fearful of, but if she is a potential defendant in a CFTC enforcement...

10/17/2023 1:34:57 PM

CFTC Resuscitates Version of MLB’s Former 'Neighborhood Play' to Sue Principal of Defunct Crypto-Asset Entity Voyager as a Commodity Pool Operator

By Dan Davis Christian Hennion

'The Commodity Futures Trading Commission appears to have revived a version of Major League Baseball’s “neighborhood play,” as evidenced...

9/11/2023 12:22:24 PM

US Court Holds DeFi Developer Cannot Be Held Liable for 3d Party Bad Actors; A Week Later, CFTC Suggests Contrary View Over One Commissioner’s Dissent

By Dan Davis

A developer and financial backers of a renowned decentralized finance protocol cannot be held liable to private litigants for the...

8/3/2023 1:46:52 PM

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

By Dan Davis

One US federal district court judge affirmatively challenged the analysis of another district court judge sitting in the same courthouse...

6/12/2023 10:13:42 PM

No Exemption for DAO from Commodity Exchange Act and CFTC Regulations for Operating a Decentralized Exchange Rules California-Based Federal Court

By Dan Davis

A decentralized autonomous organization is an unincorporated association under California and federal law that is liable for violations...

6/9/2023 1:27:48 AM

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

By Dan Davis

A framework for a potential bill that would provide (1) the Commodity Futures Trading Commission exclusive jurisdiction over digital...

6/7/2023 3:19:51 AM

Swap Dealers and Futures Commission Merchants: "Let's Talk About Risk," Says CFTC in an Advanced Notice of Proposed Rulemaking

By Carl Kennedy

Current risk management program (RMP) requirements of swap dealers (SDs) and future commission merchants (FCMs) will be re-evaluated as...

12/11/2022 12:33:43 AM

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

By Dan Davis

The recent collapse of FTX and other companies transacting in cryptoassets prompted staff of the U.S. Securities and Exchange Commission...

9/16/2022 9:26:49 PM

The Long and Winding Road of JAC Regulatory Alert 14-03

By Stephen Morris

Once, many years ago, the Joint Audit Committee released a Regulatory Alert (RA 14-03) addressed to futures commission merchants that are...

11/16/2021 1:20:18 AM

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

By Dan Davis

The Securities and Exchange Commission again rejected an exchange’s application to list and trade shares of a bitcoin ETF on November 12,...

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CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional Guidance on Self-Reporting and Cooperation

Codifying and Demystifying: The CFTC Adopts Amendments to Capital and Financial Reporting Requirements for Swap Dealers Largely Based on Prior Relief

How Resilient Are You? The CFTC Proposes Operational Resiliency Rules for FCMs, Swap Dealers and Major Swap Participants

CFTC Settles Enforcement Action Against Commodity Trading Firm for Alleged Fraud in Connection with Physical Commodity Trading Only – No Derivatives

Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry

CFTC Resuscitates Version of MLB’s Former 'Neighborhood Play' to Sue Principal of Defunct Crypto-Asset Entity Voyager as a Commodity Pool Operator

US Court Holds DeFi Developer Cannot Be Held Liable for 3d Party Bad Actors; A Week Later, CFTC Suggests Contrary View Over One Commissioner’s Dissent

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

No Exemption for DAO from Commodity Exchange Act and CFTC Regulations for Operating a Decentralized Exchange Rules California-Based Federal Court

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

Swap Dealers and Futures Commission Merchants: "Let's Talk About Risk," Says CFTC in an Advanced Notice of Proposed Rulemaking

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

The Long and Winding Road of JAC Regulatory Alert 14-03

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

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