On February 20, 2025, the Securities and Exchange Commission (SEC) announced the creation of a new specialized unit, the Cyber and Emerging Technologies Unit, to “focus on combatting cyber-related misconduct and to protect...more
The CFTC has seen a significant amount of activity since the inauguration of President Donald Trump on January 20. Chairman Rostin Behnam resigned as Chairman and as a Commissioner. Caroline Pham was elected Acting Chairman...more
2/27/2025
/ Artificial Intelligence ,
Blockchain ,
CFTC ,
Cryptocurrency ,
Derivatives ,
Digital Assets ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
Regulatory Agenda ,
Swap Dealers
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) recently announced enforcement actions that reflected sweeping, and previously unarticulated, views of their respective...more
10/12/2022
/ CFTC ,
Decentralized Autonomous Organization (DAO) ,
Designated Contract Markets (DCMs) ,
Digital Assets ,
Enforcement Actions ,
Extraterritoriality Rules ,
Futures Commission Merchants (FCMs) ,
Initial Coin Offering (ICOs) ,
Jurisdiction ,
Regulatory Agenda ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Violations
2020 saw continuity in CFTC leadership, programs, and direction from 2019. Overall, the Commission enjoyed an unusually heavy rulemaking calendar and continued the direction of its enforcement program from 2019.
On the...more
3/2/2021
/ Anti-Money Laundering ,
Bank Secrecy Act ,
CFTC ,
Civil Monetary Penalty ,
Compliance ,
Coronavirus/COVID-19 ,
Corruption ,
Department of Justice (DOJ) ,
Digital Assets ,
Enforcement Actions ,
Enforcement Authority ,
Extraterritoriality Rules ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Price Manipulation ,
Regulatory Requirements ,
Relief Measures ,
Spoofing ,
Swap Dealers
In 2019, the Commodity Futures Trading Commission (CFTC or Commission) experienced significant changes in leadership, including the appointment of Dr. Heath P. Tarbert as the Commission’s 14th Chairman.
The Division of...more
2/3/2020
/ CFTC ,
Cooperation ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Derivatives ,
Derivatives Clearing Organizations ,
Digital Assets ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Examination Priorities ,
Family Offices ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Intermediaries ,
Market Manipulation ,
Price Manipulation ,
Regulatory Oversight ,
Regulatory Standards ,
Rulemaking Process ,
Spoofing ,
Swap Clearing ,
Swaps ,
Volcker Rule