With the Presidential and Congressional transitions taking place this month, we expect increased investment and transactional activity in capital markets. This will likely include trading platforms, exchanges, clearinghouses,...more
2/6/2025
/ Asset Management ,
Broker-Dealer ,
Capital Markets ,
CFTC ,
Commodities ,
Derivatives ,
Due Diligence ,
Financial Services Industry ,
Futures ,
Investment Adviser ,
Investment Management ,
Trading Platforms
As we have previously noted, the Commodity Futures Trading Commission (CFTC) continues to face legal challenges to its regulatory approach to political event contracts. The past two weeks have seen a flurry of activity in the...more
The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), significantly expanded the Commodity Futures Trading Commission’s (“CFTC” or “Commission”) anti-fraud and anti-manipulation statutory...more
2/7/2024
/ Anti-Fraud Provisions ,
Anti-Manipulation Rule ,
CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Priorities ,
Fraud ,
Futures ,
Intermediaries ,
Market Manipulation ,
Regulatory Authority ,
Stock Options ,
Swaps
Starting May 31, National Futures Association (“NFA”) Members and Associates that engage in digital asset commodity activities must comply with NFA Compliance Rule 2-51 (“Rule 2-51” or the “Rule”) regarding anti-fraud, just...more
5/23/2023
/ Anti-Fraud Provisions ,
Bitcoin ,
CFTC ,
Code of Conduct ,
Commodities ,
Compliance ,
Digital Assets ,
Disclosure Requirements ,
Ether ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
National Futures Association ,
Supervision