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Commodity Exchange Act (CEA) › Commodity Trading Advisors (CTAs) › Dodd-Frank Wall Street Reform and Consumer Protection Act

Broker-Dealer Compliance + Regulation

CFTC Requires Introducing Brokers, Commodity Pool Operators, and Most Commodity Trading Advisors That Use Swaps to Become Members...

Broker-Dealer Compliance + Regulation on

On September 14, 2015, the Commodity Futures Trading Commission (CFTC) published a final rule requiring introducing brokers (IBs), commodity pool operators (CPOs), and most commodity trading advisors (CTAs) to become members...more

Katten Muchin Rosenman LLP

CFTC Approves Conforming Amendments for CPO and CTA Regulations

Katten Muchin Rosenman LLP on

On September 5, the Commodity Futures Trading Commission published final conforming amendments to Part 4 of its regulations, which govern the operations and activities of CPOs and CTAs. These amendments reflect changes made...more

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