Browse Related Topics For:

Commodities Futures Trading Commission

518
Swaps
499
SEC
372
Dodd-Frank
252
Swap Dealers
165
EU
158
Compliance
158
Derivatives
148
No-Action Relief
146
Enforcement Actions
145
Major Swap Participants
127
FINRA
124
Reporting Requirements
120
CPO
118
Federal Reserve
115
No-Action Letters
99
Banks
95
Commodities Exchange Act
95
NFA
89
Commodities
89
ESMA
86
Broker-Dealer
86
FDIC
84
Commodity Pool
78
CEA
77
CTA
76
Investment Adviser
75
SEFs
74
OCC
70
FCMs
68
Recordkeeping Requirements
66
Volcker Rule
64
DSIO
63
Banking Sector
63
CFPB
63
Futures
60
Financial Institutions
60
Insider Trading
59
Financial Conduct Authority (FCA)
58
Margin Requirements
57
Derivatives Clearing Organizations
55
Cross-Border
53
UK
52
Cybersecurity
51
Exemptions
47
Enforcement
47
Prudential Regulation Authority
46
CPOs
46
Final Rules
45
Disclosure Requirements
44
Bitcoin
44
EMIR
44
Registration
43
Financial Markets
43
Fraud
43
Investment Funds
43
Proposed Regulation
41
JOBS Act
41
Securities Fraud
40
ISDA
40
Virtual Currency
39
CME
39
Whistleblowers
38
End-Users
38
RMBS
38
Security-Based Swaps
37
Cross-Border Transactions
37
European Commission
37
FERC
34
IOSCO
33
Hedge Funds
32
Foreign Banks
32
Position Limits
31
Chief Compliance Officers
31
DOJ
31
Financial Regulatory Reform
31
U.S. Treasury
30
Brokers
30
Securities
29
Algorithmic Trading
29
Mortgages
29
OTC
29
Rating Agencies
29
Swap Execution Facilities
28
Hong Kong
27
General Solicitation
27
High Frequency Trading
27
Popular
26
AIFMD
26
Australia
26
Basel Committee
26
National Futures Association
26
Spoofing
25
Capital Requirements
25
Risk Management
25
SCOTUS
25
Swap Clearing
25
Swap Data Repositories
24
Capital Markets
24
FHFA
24
FSOC
24
Libor
24
Market Manipulation
23
Class Action
23
European Banking Authority
23
FinCEN
23
Foreign Exchanges
23
Proprietary Trading
23
Registration Requirement
23
Regulatory Agenda
22
Canada
22
Commodity Futures Contracts
22
Mandatory Clearing Requirements
21
Natural Gas
20
Price Manipulation
19
Audits
19
Comment Period
19
Disruptive Trading Practices
19
Whistleblower Awards
18
China
18
Collateralized Debt Obligations
18
FCPA
18
FTC
18
Market Participants
18
Memorandum of Understanding
18
Oil & Gas
18
Securities Litigation
17
Conflicts of Interest
17
Credit Default Swaps
17
Criminal Prosecution
17
DCMs
17
Identity Theft
17
Proposed Amendments
17
Regulation D
17
Securities Exchange Act
17
Stress Tests
17
Swap Market
16
Clearing Agencies
16
Designated Contract Market
16
DMO
16
ERISA
16
Forward Contracts
16
MiFID II
16
Ponzi Scheme
16
Public Comment
15
Aggregation Rules
15
Anti-Money Laundering
15
Counterparties
15
Data Protection
15
Future Commission Merchants
15
Investment Companies
15
JPMorgan Chase
15
Mary Jo White
15
Mutual Funds
15
OCIE
15
Private Funds
15
Sanctions
15
Settlement
15
SIFMA
15
Trading Platforms
14
Block Trades
14
Filing Requirements
14
Forex
14
Investment Management
14
IRS
14
Misappropriation
14
Money Market Funds
14
New Regulations
14
Trade Options
14
Uncleared Swaps
13
Basel III
13
Conflict Mineral Rules
13
Family Offices
13
Goldman Sachs
13
Risk Assessment
13
Rulemaking Process
13
Shareholders
12
Advertising
12
Bank Holding Company
12
Bank of England
12
Corporate Governance
12
Deadlines
12
EBA
12
Electricity
12
Fiduciary Duty
12
Investment Company Act of 1940
12
Investors
12
Jurisdiction
12
Private Equity Funds
12
Qualified Mortgage Rule
12
Securitization Vehicles
12
Title VII
12
Trust Preferred Securities
11
Annual Reports
11
Arbitration
11
ASIC
11
Energy
11
Financial Services Authority
11
Fund Managers
11
Hedging
11
ISS
11
Legal Entity Identifiers
11
Private Equity
11
Rule 506(c)
11
Sarbanes-Oxley
10
Administrative Procedure Act
10
AIFM
10
BitLicense
10
C-Suite Executives
10
CCPs
10
Credit Ratings
10
Eligible Contract Participant
10
Energy Sector
10
European Central Bank
10
Executive Compensation
10
Fair Housing Act (FHA)
10
Filing Deadlines
10
Interest Rate Swaps
10
Kraft
10
MiFID
10
New Guidance
10
Nonbank Firms
10
NYSE
10
Pay-To-Play
10
Penalties
10
Proxy Voting Guidelines
10
Regulation A
10
Regulatory Standards
10
Required Documentation
10
Segregated Funds
10
Shareholder Litigation
10
Small Business
10
Utilities Sector
10
Wash Trades
9
Accredited Investors
9
Affiliates
9
Amended Regulation
9
Asset Management
9
Citigroup
9
Civil Monetary Penalty
9
Clawbacks
9
Commodity Broker
9
Covered Swap Entities (CSE)
9
Dark Pool
9
Disgorgement
9
False Statements
9
Financial Statements
9
FX Swaps
9
Japan
9
Nasdaq
9
Proposed Legislation
9
Short Sales
9
SPVs
9
Supervision
9
UBS
9
Whistleblower Protection Policies
8
Administrative Hearings
8
ALJ
8
Bank Holding Company Act
8
Benchmarks
8
Board of Directors
8
Cyber Attacks
8
Deutsche Bank
8
ETFs
8
FATCA
8
Foreign Investment
8
FSB
8
Gramm-Leach-Blilely Act
8
International Harmonization
8
Merrill Lynch
8
OCR
8
Offering Fraud
8
PCAOB
8
Red Flags Rule
8
REIT
8
RICs
8
Sequestration
8
Singapore
8
Subsidiaries
8
UCITS
8
White Collar Crimes
7
Appeals
7
CBOE
7
Commercial End-User Exception
7
Crowdfunding
7
Cryptocurrency
7
Data Collection
7
Data Security
7
De Minimus Quantity Exemption
7
Emerging Growth Companies
7
Exemptive Orders
7
Fannie Mae
7
FCRA
7
G20
7
Hong Kong Securities and Futures Commission (HKSFC)
7
HSBC
7
HUD
7
Information Systems Security Program (ISSP)
7
Investment Advisers Act of 1940
7
Marketing
7
Money Laundering
7
Moody's
7
MTFs
7
OSC
7
Pensions
7
Prudential Standards
7
Risk Mitigation
7
Rule 506 Offerings
7
Shareholder Proposals
7
SIFIs
7
Strategic Enforcement Plan
7
Truth in Lending Act (TILA)
6
Administrative Proceedings
6
Arbitration Agreements
6
Bank Secrecy Act
6
Barclays
6
BCBS
6
Bona Fide Hedging
6
CICIs
6
Congressional Investigations & Hearings
6
Corporate Counsel
6
Data Breach
6
Due Diligence
6
Electronic Trading
6
Exchange-Traded Products
6
Exclusive Jurisdiction
6
Failure To Disclose
6
Federal Register
6
Fee-Shifting
6
FFIEC
6
Freddie Mac
6
Indictments
6
Information Sharing
6
Internal Controls
6
Life Insurance
6
Loans
6
Payment Systems
6
Personally Identifiable Information
6
Preemption
6
Regulation SHO
6
Regulation Z
6
Residual Interest
6
Retirement Plan
6
Risk Alert
6
Rule 144A
6
Say-on-Pay
6
Scienter
6
SEC Examination Priorities
6
Threshold Requirements
6
Trade Market Abuse
6
Transparency
6
Wire Fraud
5
Administrative Authority
5
Alternative Investment Funds
5
Asia Pacific
5
Asset-Backed Securities
5
Auditors
5
Bank of America
5
Bank of New York (BNY) Mellon
5
Barack Obama
5
Bernie Madoff
5
Breach of Duty
5
Canadian Securities Administration
5
CEOs
5
Class Certification
5
Clearing Members
5
Community Banks
5
Confidentiality Agreements
5
Corporate Officers
5
Covered Banking Entity
5
Credit Suisse
5
De Minimis Claims
5
Delegation Clauses
5
Dismissals
5
DOL
5
EDGAR
5
Energy Market
5
Equity Markets
5
False Claims Act (FCA)
5
Federal Budget
5
Financial Transaction Tax
5
Foreign Currency
5
Forum Selection
5
GAAP
5
Guaranteed Introducing Brokers
5
Hurricane Sandy
5
ICE
5
IFRS
5
Interest Rates
5
ISOs
5
Liquidity
5
Liquidity Risk Management Rule
5
Money Services Business
5
Morgan Stanley
5
MSRB
5
NASD
5
New Legislation
5
NIST
5
Non-US Entities
5
Novation
5
Ontario Securities Commission
5
Payday Loans
5
Policies and Procedures
5
PRA
5
Private Offerings
5
Pyramid Schemes
5
Regulatory Oversight
5
Resource Extraction
5
Richard Cordray
5
Risk Retention
5
S&P
5
Securities Act of 1933
5
Segregation Requirements
5
Shadow Banking
5
Stocks
5
Student Loans
5
Technical Standards
5
Termination
5
Underwriting
5
Unregistered Securities
5
Utility Special Entities
5
Waivers
4
ACH Payments
4
AML/CFT
4
Asia
4
Background Checks
4
Banging the Close
4
Bank Fraud
4
Bankruptcy Code
4
Binary Options
4
Bonds
4
Bribery
4
CME NYMEX
4
Commercial Bankruptcy
4
Commingling
4
Continuity of Enterprises
4
Crude by Rail
4
Custody Rule
4
Customer Collateral Requirements
4
Customer Funds Protection
4
Data Privacy
4
Deferred Prosecution Agreements
4
Depository Institutions
4
Digital Currency
4
Disqualification
4
Diversity
4
Enforcement Statistics
4
Exemptive Relief
4
Extraterritoriality Rules
4
FDCPA
4
Fees
4
Fixed Income Investments
4
Fixing America’s Surface Transportation Act (FAST Act)
4
FOIA
4
Foreign Entities
4
Form ADV
4
Forward Contract Exclusion
4
FX Forwards
4
GAO
4
GMAC
4
Hackers
4
Hart-Scott-Rodino Act
4
Insurance Industry
4
Interpretive Letters
4
Introducing Brokers
4
Investigations
4
Investment Portfolios
4
Investor Protection
4
iTraxx CDS indices
4
Lehman Brothers
4
Mexico
4
MF Global
4
Misrepresentation
4
Mortgage REITS
4
Motion to Dismiss
4
Municipal Bonds
4
Non-Cleared Swaps
4
Notice Requirements
4
NPRM
4
NRSRO
4
NYDFS
4
Obama Administration
4
Pay Ratio
4
Pension Funds
4
Peregrine Financial Group
4
Privacy Policy
4
Private Investment Funds
4
Private Placements
4
Proxy Season
4
Public Meetings
4
Rare Earth Metals
4
RBS
4
Registered Investment Advisors
4
Regulation SCI
4
Securities Exchanges
4
Securitization
4
Social Media
4
Spending Cuts
4
Swap Agreements
4
Technology
4
Third-Party Service Provider
4
US v Newman
4
Valuation
4
Wells Fargo
3
Advisory Opinions
3
Alternative Trading Systems
3
Appointments Clause
3
Appraisal
3
Asset Valuations
3
Attorney's Fees
3
Australian Securities and Investments Commission
3
Bad Actors
3
Banking Examinations
3
Best Practices
3
Block Chain
3
Books & Records
3
BP
3
BrokerCheck
3
BRRD
3
Business Conduct Standards
3
Bylaws
3
Captive Insurance Company
3
CDS
3
Cease and Desist Orders
3
Central Counterparties
3
Collateralized Loan Obligations
3
Confidential Information
3
Consultation
3
Controlled Foreign Corporations
3
Countrywide
3
Covered Entities
3
Credit Cards
3
Creditors
3
Crude Oil
3
Cuba
3
Cuban Assets Control Regulations (CACR)
3
Cyber Threats
3
Dealers
3
Default
3
Delaware General Corporation Law
3
DF-Protocol
3
Directors
3
Disclosure
3
Distressed Debt
3
Dividends
3
EB-5
3
Employee Benefits
3
EPA
3
Equity Securities
3
False Advertising
3
Farms
3
FATF
3
Financial Instruments
3
Financial Market Utilities
3
Finders
3
Flash Boys
3
Flash Crash
3
Foreclosure
3
Foreign Official
3
Form 13F
3
Form D Filing
3
Form PF
3
Fracking
3
Fund of Funds
3
Global Market
3
Guarantors
3
Guidance Update
3
Halliburton v Erica P. John Fund
3
Hedges
3
Illegal Tipping
3
Infrastructure
3
Insolvency
3
International Banks
3
Interpretive Rule
3
IPO
3
Iran Sanctions
3
ISDA Master Agreement
3
Joint Venture
3
Legacy Funds
3
Legislative Agendas
3
Leverage Ratio
3
Leveraged Loans
3
Liquidation
3
Liquidity Coverage Ratio
3
Listing Standards
3
Margin Calls
3
Market Making
3
Material Nonpublic Information
3
Misleading Statements
3
Mortgage Servicers
3
Mortgage-Backed Securities
3
Municipal Securities Market
3
NASAA
3
NCUA
3
NEP
3
OFAC
3
OMB
3
Oversight Committee
3
Personal Benefit
3
Prepaid Payment Products
3
Proxy Access Rule
3
Public Utility
3
Publicly-Traded Companies
3
Qui Tam
3
Registered Funds
3
Registered Futures Association Membership
3
Regulation S-P
3
Regulatory Agencies
3
Reinsurance
3
Remittance Transfer Rule
3
RESPA
3
Retaliation
3
Ring-Fencing
3
RTO
3
Rule 10b-5
3
Securitization Market
3
Security Risk Assessments
3
Self-Regulatory Organizations
3
Serious Fraud Office
3
Sovereign Debt
3
Statute of Limitations
3
Structured Financial Products
3
Stub Swaps
3
Summit Energy
3
Tax Reform
3
Terrorism Insurance
3
Tibble v Edison Int
3
Tick Size
3
Tolling
3
Treasury Affiliates
3
trueEX
3
U.S. Person
3
Unfair or Deceptive Trade Practices
3
Unregistered Brokers
3
US Bank
3
Websites
3
Yates Memorandum
2
401k
2
Ability-to-Repay
2
Accountants
2
Administrative Appointments
2
Advanced Notice of Proposed Rulemaking (ANPRM)
2
Advisory Committee
2
Affordable Care Act
2
Anti-Corruption
2
Anti-Retaliation Provisions
2
Arbitrators
2
Asset Class
2
ATMs
2
ATS
2
Automotive Loans
2
Bad Faith
2
Bailout
2
BEA
2
Ben Bernanke
2
BIS
2
BlackRock
2
Borrowers
2
Breach Notification Rule
2
Breach of Contract
2
British Bankers' Association
2
Brokered Deposits
2
BSA/AML
2
Business Development
2
Business Judgment Rule
2
Business Ownership
2
C&DIs
2
Capital Formation
2
Cartels
2
Cease and Desist
2
Certifications
2
Chamber of Commerce
2
Chapter 11
2
Chapter 9
2
Collateral
2
Commercial Leases
2
Commercial Real Estate Market
2
Committee on Payments and Market Infrastructure (CPMI)
2
Commodity Futures Modernization Act of 2000 (CFMA)
2
Commodity Interest
2
Community Reinvestment Act
2
Compensation & Benefits
2
Competition Authorities
2
Comptroller
2
Confirmation Proceedings
2
Consent Order
2
Consumer Lenders
2
Covered Funds
2
Covered Transactions
2
CRA
2
CRD IV Directive
2
Credit Rating Agencies
2
Credit Reports
2
Credit Unions
2
Criminal Background Checks
2
Cyber Incident Reporting
2
Cybersecurity Framework
2
Data Breach Plans
2
DBRS
2
Debt Ceiling
2
Debt Securities
2
Delegation of Discretion
2
Department of Financial Services
2
Department of Transportation (DOT)
2
Deposit Advances
2
Derivative Suit
2
Detroit
2
Digital Assets
2
Disaster Aid
2
Disaster Preparedness
2
Discovery
2
Distribution Rules
2
Documentation
2
DOMA
2
DTCC
2
Due Process
2
Election Results
2
Electronic Reporting
2
Employer Group Health Plans
2
Employer Liability Issues
2
Energy Policy Act
2
Equity Plans
2
Ernst & Young
2
European Court of Justice (ECJ)
2
Examination Manual
2
Examination Priorities
2
Excessive Fees
2
Exclusions
2
Fair Lending
2
False Reporting
2
Falsified Documents
2
Farm Credit Administration
2
FBI
2
FICC
2
FIfth Third Bancorp v Dudenhoeffer
2
Financial Products
2
Financial Reporting
2
Financial Sector
2
Financial Services Industry
2
Financing
2
Fines
2
First Amendment
2
Fitch
2
Flood Insurance
2
FOMC
2
Food Commodities
2
Foreign Branches of U.S. Banks
2
Foreign Markets
2
Fracking Bans
2
Fraud-on-the-Market
2
Fraudulent Transfers
2
FRB
2
Frozen Assets
2
FSMA
2
Gaming
2
Government Investigations
2
Government Shutdown
2
Harmonization Rules
2
Healthcare
2
HHS
2
HOEPA
2
Housing Market
2
ICAP
2
Incentive Compensation
2
Independent Boards
2
Industry Examinations
2
Institutional Investment
2
Insured Depository Institutions
2
Internal Investigations
2
Interpretive Opinions
2
KBR (formerly Kellogg Brown & Root)
2
Kickbacks
2
Korea
2
Legislative Committees
2
Lenders
2
Leverage Capital Ratio
2
Limited Partnerships
2
Loan Documentation
2
Loan Modifications
2
Loss Causation
2
Lying
2
Mandatory Arbitration Clauses
2
Market Access Rule
2
Market Risk Capital Rule
2
Martoma
2
Material Misstatements
2
Meals-Gifts-and Entertainment Rules
2
Metals
2
Mining
2
Municipal Advisers
2
Municipal Securities Issuers
2
Municipalities
2
Natural Disasters
2
NAV
2
NDFs
2
Neither Admit Nor Deny Settlements
2
NERC
2
Nominations
2
OIG
2
OMWI
2
Opinion Letter
2
Option Contracts
2
Oral Communications
2
Order Routing
2
Outsourcing
2
Pay-for-Performance
2
Payroll Cards
2
Pending Legislation
2
Perjury
2
Personal Data
2
Personal Liability
2
Petition for Writ of Certiorari
2
Political Appointments
2
Preliminary Injunctions
2
Price Transparency
2
Private Student Loans
2
Proxy Advisors
2
Proxy Statements
2
PSLRA
2
Public Disclosure
2
Push-Out Requirements
2
Receivership
2
Registration Statement
2
Regulation M
2
Regulation S-K
2
Regulation S-X
2
Representations and Warranties
2
Required Forms
2
Retailers
2
Rule
2
Rule 147
2
Rule 506
2
Safe Harbors
2
Safety Precautions
2
SAR
2
Schedule 13D
2
Securities Dealers
2
Seed Financing
2
Senate Banking Committee
2
Senior Managers Insurers Regime (SMIR)
2
SFC
2
SFO
2
Shale Gas
2
Shareholder Rights
2
Solvency II
2
Stand-Alone SBSDs
2
Standing
2
Stock Exchange
2
Stock Options
2
Stock Trades
2
Subpoenas
2
Surveillance
2
Suspensions & Debarments
2
Suspicious Activity Reports
2
Tariffs
2
TCPA
2
Telecommunications
2
Tender Offers
2
Third-Party
2
Time Extensions
2
TRACE
2
Trade Policy
2
Training
2
Training Requirements
2
Transfers
2
TRIA
2
UDAAP
2
Underwater Homeowners
2
Unions
2
Wall Street
2
Withholding Tax
2
World Bank
2
Year-End Planning
2
Young Lawyers
1
16(b)
1
ABS
1
Absolute Privilege
1
ACCC
1
Accounting
1
Accounting Controls
1
Accounting Fraud
1
Accounting Standards
1
Administrative Boards
1
Administrative Fines
1
Advocate General
1
Aerospace
1
Affiliate Marketers
1
Affirmative Action
1
Affirmative Defenses
1
Aiding and Abetting
1
AIF
1
Aircraft Sales
1
Airlines
1
Allocation of Funds
1
Alter Ego
1
Alternative Mutual Funds
1
Amended Legislation
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
Annuities
1
Anti-Abuse Rule
1
Anti-Competitive
1
Antitrust Conspiracies
1
Antitrust Investigations
1
Antitrust Litigation
1
Antitrust Provisions
1
Appropriation
1
Arctic Drilling
1
Argentina
1
Article II
1
Asset Diversification
1
Asset Freeze
1
Assignees
1
ASX Listing Rules
1
Attorney Malpractice
1
Attorney-Client Privilege
1
Audio Recording
1
Audit Committee
1
Audit Reports
1
Automatic Stay
1
Automobile Recall
1
Automotive Industry
1
B2B Transactions
1
banking
1
Banking Crisis
1
Bankruptcy Reform
1
BATS Exchange
1
Bear Sterns
1
Benchmark Pricing
1
Beneficiaries
1
Benefit Plan Sponsors
1
BEPS
1
Best Execution
1
Biofuel
1
Blue Sky Laws
1
BNP Paribas
1
Broadband
1
Broken Windows
1
Bucket Shop
1
Bundling Rules
1
Burger King
1
Business Development Companies
1
Business Roundtable
1
Campaign Finance Reform
1
Capital Estimation Tool
1
Capital Markets Union
1
Capital One
1
Capital Rules
1
Capitalization
1
Carbon Taxes
1
Cargill
1
Carried Interest
1
Carve Out Provisions
1
Casinos
1
Causation
1
CCMR
1
CCO
1
CD&I
1
CDFI Fund
1
Cease and Desist Order
1
CFOs
1
Chapter 15
1
Chapter 7
1
Charitable Donations
1
Charles Schwab
1
Chevron Deference
1
Choke Point
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 Estoppel
1
Collusion
1
Comcast
1
Comcast v. Behrend
1
Commerzbank
1
Committee Meetings
1
Commodity Sale Agreements
1
Common Ownership
1
Common Reporting Standard (CRS)
1
Common Securitization Platform
1
Compensation Committee
1
Competition
1
Competition Act
1
Compliance Dates
1
Compulsory Licenses
1
Conservators
1
Conspiracies
1
Construction Contracts
1
Consumer Complaint System