Browse Related Topics For:

Commodities Futures Trading Commission

459
Swaps
410
SEC
336
Dodd-Frank
221
Swap Dealers
145
Compliance
131
No-Action Relief
123
Derivatives
123
Major Swap Participants
122
EU
118
CPO
109
No-Action Letters
106
Federal Reserve
105
Reporting Requirements
98
FINRA
97
Enforcement Actions
89
Banks
75
Commodity Pool
75
FDIC
71
Commodities Exchange Act
67
CEA
66
Commodities
65
OCC
64
Broker-Dealer
64
NFA
63
CTA
62
DSIO
62
ESMA
62
Investment Adviser
61
SEFs
60
FCMs
60
Volcker Rule
59
CFPB
54
Recordkeeping Requirements
53
Futures
49
Cross-Border
45
Enforcement
44
Insider Trading
43
Banking Sector
41
Derivatives Clearing Organizations
41
Registration
40
JOBS Act
39
Exemptions
37
Disclosure Requirements
36
ISDA
36
Prudential Regulation Authority
35
End-Users
35
Fraud
35
UK
33
Margin Requirements
32
Cross-Border Transactions
32
EMIR
32
FERC
32
Securities Fraud
31
Final Rules
30
CPOs
30
Foreign Banks
30
Position Limits
29
CME
29
European Commission
29
Investment Funds
29
Whistleblowers
28
Financial Conduct Authority
28
Financial Regulatory Reform
28
Proposed Regulation
27
Hedge Funds
27
RMBS
27
Securities
27
Security-Based Swaps
26
General Solicitation
26
Mortgages
26
OTC
24
Brokers
24
Chief Compliance Officers
24
Cybersecurity
24
Virtual Currency
23
DOJ
22
Class Action
22
Hong Kong
22
IOSCO
22
U.S. Treasury
21
Basel Committee
21
Financial Institutions
20
FSOC
20
Proprietary Trading
20
Swap Data Repositories
19
FHFA
19
Libor
19
Mandatory Clearing Requirements
19
Natural Gas
19
Regulatory Agenda
18
European Banking Authority
18
FinCEN
18
Risk Management
18
SCOTUS
17
Australia
17
Capital Requirements
17
China
17
FCA
17
Financial Markets
17
Foreign Exchanges
17
High Frequency Trading
17
Identity Theft
17
Rating Agencies
16
AIFMD
16
Bitcoins
16
Collateralized Debt Obligations
16
Forward Contracts
16
FTC
16
Memorandum of Understanding
16
Oil & Gas
16
Regulation D
16
Swap Execution Facilities
15
Canada
15
Capital Markets
15
Commodity Futures Contracts
15
Credit Default Swaps
15
SIFMA
14
DMO
14
Future Commission Merchants
14
Market Manipulation
14
Public Comment
14
Securities Litigation
14
Stress Tests
14
Swap Clearing
14
Trade Options
13
ERISA
13
Family Offices
13
FCPA
13
Ponzi Scheme
13
Settlement
13
Spoofing
13
Swap Market
12
Audits
12
Conflict Mineral Rules
12
Criminal Prosecution
12
Deadlines
12
Designated Contract Market
12
Money Market Funds
12
Private Funds
12
Rulemaking Process
12
Securitization Vehicles
12
Shareholders
12
Title VII
12
Trust Preferred Securities
12
Whistleblower Awards
11
Advertising
11
Annual Reports
11
Arbitration
11
Bank of England
11
Clearing Agencies
11
Energy
11
Filing Requirements
11
Financial Services Authority
11
IRS
11
Legal Entity Identifiers
11
Mary Jo White
11
Misappropriation
11
Popular
11
Price Manipulation
11
Proposed Amendments
11
Qualified Mortgage Rule
11
Rule 506(c)
11
Securities Exchange Act
10
Aggregation Rules
10
Block Trades
10
Conflicts of Interest
10
Disruptive Trading Practices
10
Electricity
10
Eligible Contract Participant
10
FHA
10
JPMorgan Chase
10
Jurisdiction
10
Market Participants
10
New Regulations
10
OCIE
10
Private Equity
10
Private Equity Funds
10
Required Documentation
10
Segregated Funds
10
Shareholder Litigation
9
AIFM
9
Basel III
9
CCPs
9
Citigroup
9
Investment Companies
9
Investment Management
9
Mutual Funds
9
National Futures Association
9
Nonbank Firms
9
Proposed Legislation
9
Regulation A
9
Risk Assessment
9
Sanctions
9
SPVs
9
Utilities Sector
8
Administrative Procedure Act
8
Algorithmic Trading
8
Anti-Money Laundering
8
ASIC
8
Bank Holding Company Act
8
Civil Monetary Penalty
8
Clawbacks
8
Counterparties
8
Credit Ratings
8
Data Protection
8
DCMs
8
Fiduciary Duty
8
Filing Deadlines
8
Fund Managers
8
FX Swaps
8
Goldman Sachs
8
International Harmonization
8
Investors
8
ISS
8
NYSE
8
Penalties
8
Proxy Voting Guidelines
8
Red Flags Rule
8
RICs
8
Sarbanes-Oxley
8
Sequestration
8
Small Business
7
Bank Holding Company
7
Crowdfunding
7
Deutsche Bank
7
Disgorgement
7
EBA
7
Energy Sector
7
Executive Compensation
7
Exemptive Orders
7
Fannie Mae
7
FATCA
7
G20
7
Gramm-Leach-Blilely Act
7
Hedging
7
HUD
7
Investment Company Act of 1940
7
Merrill Lynch
7
MiFID
7
Money Laundering
7
Moody's
7
MTFs
7
Nasdaq
7
OSC
7
Rule 506 Offerings
7
Short Sales
7
Singapore
7
Strategic Enforcement Plan
7
White Collar Crimes
6
Accredited Investors
6
Affiliates
6
Arbitration Agreements
6
Benchmarks
6
BitLicense
6
Bona Fide Hedging
6
CICIs
6
Commercial End-User Exception
6
Commodity Broker
6
Congressional Investigations & Hearings
6
Corporate Governance
6
FCRA
6
Financial Statements
6
Foreign Investment
6
Forex
6
Freddie Mac
6
Information Sharing
6
Interest Rate Swaps
6
Marketing
6
New Guidance
6
Pay-To-Play
6
PCAOB
6
Preemption
6
Registration Requirement
6
Regulation Z
6
Residual Interest
6
Risk Mitigation
6
Rule 144A
6
Say-on-Pay
6
SIFIs
6
Subsidiaries
6
TILA
6
UBS
6
Wash Trades
6
Whistleblower Protection Policies
6
Wire Fraud
5
Administrative Hearings
5
Alternative Investment Funds
5
Asset Management
5
Asset-Backed Securities
5
Auditors
5
Bank of America
5
Bank Secrecy Act
5
Barack Obama
5
Bernie Madoff
5
Bitcoin
5
CBOE
5
Cyber Attacks
5
De Minimis Claims
5
Delegation Clauses
5
DOL
5
Energy Market
5
ETFs
5
European Central Bank
5
Exchange-Traded Products
5
Exclusive Jurisdiction
5
FSB
5
Guaranteed Introducing Brokers
5
HSBC
5
Hurricane Sandy
5
ICE
5
Kraft
5
New Legislation
5
Novation
5
Payday Loans
5
Payment Systems
5
Private Offerings
5
Prudential Standards
5
Regulatory Standards
5
Retirement Plan
5
Richard Cordray
5
Scienter
5
Segregation Requirements
5
Shareholder Proposals
5
Student Loans
5
Supervision
5
Threshhold Requirements
5
UCITS
5
Underwriting
5
Utility Special Entities
5
Waivers
4
Amended Regulation
4
Appeals
4
Asia
4
Banging the Close
4
Bank Fraud
4
Board of Directors
4
Bribery
4
C-Suite Executives
4
Class Certification
4
Clearing Members
4
Comment Period
4
Commercial Bankruptcy
4
Commingling
4
Community Banks
4
Continuity of Enterprises
4
Corporate Counsel
4
Crude by Rail
4
Customer Funds Protection
4
Disqualification
4
Diversity
4
Due Diligence
4
EDGAR
4
Emerging Growth Companies
4
Equity Markets
4
Extraterritoriality Rules
4
False Claims Act
4
False Statements
4
Federal Budget
4
Fee-Shifting Statutes
4
Fees
4
FFIEC
4
Financial Transaction Tax
4
Fixed Income Investments
4
Forum Selection Clause
4
Forward Contract Exclusion
4
GAO
4
IFRS
4
Interest Rates
4
Interpretive Letters
4
Investigations
4
Investment Advisers Act of 1940
4
ISOs
4
iTraxx CDS indices
4
Life Insurance
4
Loans
4
Mexico
4
MF Global
4
MiFID II
4
Money Services Business
4
Non-US Entities
4
Notice Requirements
4
OCR
4
Pensions
4
Peregrine Financial Group
4
Private Investment Funds
4
Private Placements
4
REIT
4
Risk Retention
4
S&P
4
Securities Act of 1933
4
Social Media
4
Spending Cuts
4
Swap Agreements
4
Technology
4
Termination
4
Transparency
3
ACH Payments
3
Administrative Authority
3
ALJ
3
AML/CFT
3
Appraisal
3
Asia Pacific
3
Attorney's Fees
3
Australian Securities and Investments Commission
3
Background Checks
3
Bad Actors
3
Binary Options
3
Breach of Duty
3
BrokerCheck
3
Business Conduct Standards
3
Canadian Securities Administration
3
Captive Insurance Company
3
CDS
3
Collateralized Loan Obligations
3
Confidential Information
3
Confidentiality Agreements
3
Controlled Foreign Corporations
3
Countrywide
3
Covered Banking Entity
3
Customer Collateral Requirements
3
Dark Pool
3
Data Breach
3
Data Collection
3
Deferred Prosecution Agreements
3
Delaware General Corporation Law
3
Depository Institutions
3
DF-Protocol
3
Disclosure
3
Dismissals
3
Electronic Trading
3
Employee Benefits
3
Enforcement Statistics
3
FATF
3
FDCPA
3
Financial Market Utilities
3
Financial Services Industry
3
Flash Crash
3
FOIA
3
Foreign Currency
3
Form D Filing
3
Fracking
3
Fund of Funds
3
FX Forwards
3
GAAP
3
Guarantors
3
Guidance Update
3
Halliburton v Erica P. John Fund
3
Hart-Scott-Rodino Act
3
Hedges
3
Illegal Tipping
3
Indictments
3
Insolvency
3
Internal Controls
3
Introducing Brokers
3
IPO
3
Iran Sanctions
3
Japan
3
Legislative Agendas
3
Lehman Brothers
3
Leveraged Loans
3
Listing Standards
3
Margin Calls
3
Market Making
3
Misrepresentation
3
Morgan Stanley
3
Mortgage REITS
3
Mortgage Servicers
3
Mortgage-Backed Securities
3
Municipal Bonds
3
NASD
3
NEP
3
OMB
3
Oversight Committee
3
Pay Ratio
3
PRA
3
Prepaid Payment Products
3
Privacy Policy
3
Proxy Season
3
Rare Earth Metals
3
RBS
3
Registered Funds
3
Regulation SCI
3
Regulation SHO
3
Reinsurance
3
REITS
3
Resource Extraction
3
RESPA
3
Retaliation
3
Securitization
3
Self-Regulatory Organizations
3
Serious Fraud Office
3
Shadow Banking
3
Sovereign Debt
3
Stocks
3
Stub Swaps
3
Summit Energy
3
Tax Reform
3
Tick Size
3
Tolling
3
Treasury Affiliates
3
trueEX
3
U.S. Person
3
Unfair or Deceptive Trade Practices
3
US Bank
3
Wells Fargo
2
Ability-to-Repay
2
Accountants
2
Advisory Opinions
2
Affordable Care Act
2
ANPRM
2
Anti-Corruption
2
Appointments Clause
2
Arbitrators
2
Asset Class
2
ATMs
2
ATS
2
Automotive Loans
2
Bankruptcy Code
2
Ben Bernanke
2
Best Practices
2
BIS
2
BlackRock
2
Bonds
2
Books & Records
2
Borrowers
2
British Bankers' Association
2
BSA/AML
2
Business Development
2
Business Judgment Rule
2
Business Ownership
2
Bylaws
2
CACR
2
Capital Formation
2
Cartels
2
CEOs
2
Certifications
2
Chamber of Commerce
2
Chapter 11
2
Chapter 9
2
CME NYMEX
2
Commercial Leases
2
Commercial Real Estate Market
2
Commodity Interest
2
Community Reinvestment Act
2
Compensation & Benefits
2
Comptroller
2
Confirmation Proceedings
2
Consent Order
2
Corporate Officers
2
Covered Entities
2
Covered Transactions
2
CRA
2
Credit Cards
2
Credit Rating Agencies
2
Credit Reports
2
Credit Suisse
2
Credit Unions
2
Creditors
2
Crude Oil
2
Cryptocurrency
2
Cuba
2
Custody Rule
2
DBRS
2
DCO
2
De Minimus Quantity Exemption
2
Debt Ceiling
2
Default
2
Delegation of Discretion
2
Department of Financial Services
2
Department of Transportation
2
Deposit Advances
2
Derivative Suit
2
Detroit
2
Directors
2
Disaster Aid
2
Disaster Preparedness
2
Documentation
2
DOMA
2
DTCC
2
ECJ
2
Election Results
2
Employer Group Health Plans
2
Energy Policy Act
2
EPA
2
Equity Plans
2
Equity Securities
2
Ernst & Young
2
Examination Manual
2
Exemptive Relief
2
False Reporting
2
Falsified Documents
2
Farms
2
FBI
2
Federal Register
2
Fee-Shifting
2
FICC
2
FIfth Third Bancorp v Dudenhoeffer
2
Financial Instruments
2
Financial Products
2
Financial Reporting
2
Financing
2
Finders
2
Fines
2
Fitch
2
Flood Insurance
2
FOMC
2
Food Commodities
2
Foreclosure
2
Foreign Branches of U.S. Banks
2
Foreign Entities
2
Foreign Markets
2
Foreign Official
2
Form 13F
2
Form ADV
2
Fracking Bans
2
Fraud-on-the-Market
2
Frozen Assets
2
FSMA
2
Global Market
2
GMAC
2
Government Shutdown
2
Harmonization Rules
2
Healthcare
2
Housing Market
2
ICAP
2
Infrastructure
2
Internal Investigations
2
Investment Portfolios
2
Investor Protection
2
ISDA Master Agreement
2
Joint Venture
2
Kickbacks
2
LCH.Clearnet.LLC
2
Legacy Funds
2
Legislative Committees
2
Leverage Capital Ratio
2
Limited Partnerships
2
Liquidation
2
Liquidity
2
Liquidity Coverage Ratio
2
Loan Documentation
2
Loan Modifications
2
Lying
2
Mandatory Arbitration Clauses
2
Martoma
2
Material Misstatements
2
Metals
2
Mining
2
Motion to Dismiss
2
MSRB
2
Municipal Securities Market
2
Municipalities
2
NASAA
2
Natural Disasters
2
NCUA
2
NERC
2
Nominations
2
NRSRO
2
Obama Administration
2
OFAC
2
Ontario Securities Commission
2
Opinion Letter
2
Option Contracts
2
Oral Communications
2
Order Routing
2
Pay-for-Performance
2
Payroll Cards
2
Pending Legislation
2
Pension Funds
2
Perjury
2
Personal Benefit
2
Personally Identifiable Information
2
Political Appointments
2
Private Student Loans
2
Proxy Advisors
2
Proxy Statements
2
Public Disclosure
2
Public Meetings
2
Push-Out Requirements
2
Pyramid Schemes
2
Qui Tam
2
Receivership
2
Regulation M
2
Regulation S-P
2
Regulatory Agencies
2
Remittance Transfer Rule
2
Retailers
2
Risk Alert
2
RTO
2
Rule
2
Rule 10b-5
2
Rule 506
2
Safety Precautions
2
Seed Financing
2
Senate Banking Committee
2
SFC
2
SFO
2
Shale Gas
2
Shareholder Rights
2
Standing
2
Statute of Limitations
2
Stock Exchange
2
Stock Options
2
Stock Trades
2
Structured Financial Products
2
Subpoenas
2
Surveillance
2
Suspicious Activity Reports
2
Tariffs
2
TCPA
2
Telecommunications
2
Tender Offers
2
Terrorism Insurance
2
Third-Party
2
Tibble v Edison Int
2
TRACE
2
Trade Market Abuse
2
Trade Policy
2
Transfers
2
TRIA
2
Underwater Homeowners
2
Unregistered Securities
2
Valuation
2
Wall Street
2
World Bank
2
Year-End Planning
1
16(b)
1
401k
1
ABS
1
Absolute Privilege
1
Accounting
1
Accounting Controls
1
Administrative Appointments
1
Administrative Boards
1
Administrative Fines
1
Advisory Committee
1
Advocate General
1
Aerospace
1
Affiliate Marketers
1
Affirmative Action
1
Affirmative Defenses
1
Aiding and Abetting
1
Aircraft Sales
1
Airlines
1
Alter Ego
1
Alternative Mutual Funds
1
Alternative Trading Systems
1
Amended Legislation
1
Amended Order
1
American Bankruptcy Institute
1
American Express
1
American Pipe & Construction Co. v. Utah
1
AMF
1
Amgen
1
Amgen Inc. v Connecticut Retirement Plans
1
Amnesty International
1
Anti-Competitive
1
Antitrust Conspiracies
1
Antitrust Litigation
1
Antitrust Provisions
1
Appropriation
1
Arctic Drilling
1
Article II
1
Asset Freeze
1
Asset Valuations
1
Attorney Malpractice
1
Attorney-Client Privilege
1
Audio Recording
1
Audit Committee
1
Automatic Stay
1
Automotive Industry
1
Bad Faith
1
Bailout
1
Banking Crisis
1
Banking Examinations
1
Bankruptcy Reform
1
Barclays
1
Bear Sterns
1
Beneficiaries
1
Benefit Plan Sponsors
1
BEPS
1
Biofuel
1
Block Chain
1
Blue Sky Laws
1
BNY Mellon
1
BP
1
Breach Notification Rule
1
Broadband
1
Broken Windows
1
Brokered Deposits
1
BRRD
1
Bundling Rules
1
Burger King
1
Business Development Companies
1
Business Roundtable
1
C&DIs
1
Campaign Finance Reform
1
Canada Securities Regulators (CSA)
1
Cantor Clearinghouse
1
Capital Estimation Tool
1
Carbon Taxes
1
Cargill
1
Carried Interest
1
Carve Out Provisions
1
Causation
1
CCMR
1
CCO
1
CDIs
1
CFOs
1
Chapter 15
1
Chapter 7
1
Charitable Donations
1
Chiquita
1
Churches
1
Citibank
1
Civil Penalty Fund
1
Class Arbitration
1
Class Representatives
1
Clean Power Plan
1
Clickwrap Agreements
1
Climate Change
1
CoC
1
Code of Conduct
1
Collateral
1
Collateral Estoppel
1
Collusion
1
Comcast
1
Comcast v. Behrend
1
Commerzbank
1
Commodity Sale Agreements
1
Common Ownership
1
Compensation Committee
1
Competition
1
Competition Act
1
Compulsory Licenses
1
Concealed Control
1
Conservators
1
Conspiracies
1
Construction Contracts
1
Consultation
1
Consumer Complaint System
1
Consumer Protection Act
1
Contests & Promotions
1
Continuing Resolution
1
Contract Interpretation
1
Controlling Stockholders
1
Cooperation Agreement
1
Corporate Bonuses
1
Corporate Criminal Fines
1
Corporate Culture
1
Corporate Liability
1
Corporate Restructuring
1
Corporate Sales Transactions
1
Corporate Taxes
1
Corporate Veil
1
Corruption
1
Counterparty Risk
1
Covenant of Good Faith and Fair Dealing
1
Covered Swap Entities (CSE)
1
Cramdown
1
Credit Agreements
1
Criminal Background Checks
1
Cross-Selling
1
CSRC
1
Currency Exchange
1
Cybersecurity Framework
1
Debentures
1
Debit Cards
1
Debt Financing
1
Debt Securities
1
Decimalization
1
Deferred Compensation
1
Delegated CPOs
1
Delegation Doctrine
1
Deloitte
1
Department of the Interior
1
Deposit Accounts
1
Deposit Insurance
1
Destruction of Evidence
1
DHS
1
Dilution
1
Discipline
1
Discovery
1
Discrimination
1
Distribution Rules
1
Divorce
1
Double Jeopardy
1
Dow Jones
1
Draft Guidance
1
Driverless Cars
1
Durbin Amendment Rules
1
E-Commerce
1
Economic Development
1
Economic Impact Analysis
1
EEA
1
EEOC
1
EFRP
1
Elder Abuse
1
Electronically Stored Information
1
Emerging Technology Companies
1
Emerging Trading Technologies
1
Employee Rights
1
Employer Liability Issues
1
Employment Policies
1
Energy Policy
1
Enforcement Guidance
1
Entity Classification
1
Equitable Tolling
1
Equity Financing
1
Equity Swaps
1
ESA
1
Escheat
1
Escrow Accounts
1
ESOP
1
Established Business Relationship
1
Ethanol
1
Ethics
1
EU Directive
1
European Investment Bank
1
Examination Priorities
1
Exceptions
1
Exclusions
1
Exclusive Forum
1
Exclusive Remedy
1
Exempt Organizations
1
Expert Testimony
1
Extensions
1
FAA
1
Fair and Effective Markets Review (FEMR)
1
Fair Lending
1
False Advertising
1
Family Businesses
1
FBAR
1
FBOT
1
FCC
1
FDA
1
Federal Arbitration Act
1
Federal Banking Agencies
1
Federal Funding
1
Federal Sentencing Guidelines
1
Fiduciary Liability
1
Fiduciary Standard
1
Filibuster
1
Financial Actvities
1
Financial Companies
1
Financial Crimes
1
Financial Crisis
1
Financial Institution Liability
1
Financial Services and Markets Act
1
Financial Services Committee
1
FINMA
1
FIRREA
1
First Amendment
1
Fiscal Cliff
1
Flash Boys
1
FLSA
1
Fokker
1
Food Manufacturers
1
Ford Motor
1
Foreign Affiliates
1
Foreign Corporations
1
Foreign Jurisdictions
1
Foreign Listed Stock Index
1
Foreign Subsidiaries
1
Forex Dealer Members
1
Form 40S
1
Form PF
1
Form SD
1
Form TO
1
Forum
1
Fraudulent Transfers
1
Fraudulent Wire Transfers
1
FRB
1
Front-Margining
1
Front-Running
1
FTCA
1
Funding
1
Funding Portal
1
G-SIB
1
Gabelli v SEC
1
GameStop
1
Gaming
1
General Electric
1
Geographic Targeting Order
1
George Canellos
1
Glass Lewis
1
Global Economy
1
Going-Private Transactions
1
Good Faith
1
Greece
1
GRId System
1
GSE
1
GTO
1
Hackers
1
Haiti
1
Harbinger Capital Partners LLC
1
Harry Reid
1
HHS
1
High-Risk Mortgages
1
High-Speed Trading