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Second Recent CFTC “Banging The Close” Case Results In Various CEA Violations, Fines, Trading Bans

On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents) for violating the Commodity Exchange Act (CEA). ...more

Lie To Protect Yourself Or Your Employer In CFTC Investigations And You Will Be Punished

Section 753 of the Dodd-Frank Act added a new section to the Commodity Exchange Act to make it unlawful “for any person to make any false or misleading statement of a material fact to the Commission … or to omit to state in...more

CFTC Clarifies That Typical Retail Energy Contracts Are Not Subject To Regulation Under Dodd-Frank’s Retail Commodity Transaction...

On Friday August 23, the Commodity Futures Trading Commission clarified that typical retail energy contracts with homeowners and commercial users will not be subject to the Dodd-Frank Act’s requirements applicable to “Retail...more

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