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2 results for: enforcement

4/22/2025 8:56:45 PM

A New Playbook: What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

By Carl Kennedy

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and...

10/19/2023 2:51:31 PM

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...