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Commodities Futures Trading Commission

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -

Cryptocurrency Update: CFTC Reaffirms Jurisdiction Over Certain Virtual Currency Transactions

by Ropes & Gray LLP on

There is little question that virtual currency will be subject to increasing regulatory oversight as it continues its steady march towards the mainstream. On October 17, 2017, the Commodity Futures Trading Commission (CFTC)...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Lyft, armed with a fresh billion from Google’s venture investment arm (CapitalG), is looking seriously at a 2018 IPO. The CapG money raises Lyft’s valuation from $6.9 billion to more than $10 billion....more

CFTC Extends Its Reach to Potentially Include Initial Coin Offerings

by Pepper Hamilton LLP on

The Commodity Futures Trading Commission (CFTC) has now made it clear that, in its view, certain initial coin offerings (ICOs) within the United States or affecting U.S. residents may be within its jurisdiction. On October...more

CFTC and European Commission Make Progress on Cross-Border Agreements

On October 13, 2017, the Commodity Futures Trading Commission (CFTC) announced two cross-border developments with the European Commission (EC) that take significant steps toward reconciling regulation of cross-border...more

CFTC Releases Primer on Virtual Currencies

by Reed Smith on

On October 17, 2017, the U.S. Commodity Futures Trading Commission’s (“CFTC”) LabCFTC released a primer on virtual currencies. The primer is an “education tool” that provides an overview of the virtual currency landscape and...more

SEC Investor Advisory Committee Considers Blockchain Technology and Securities Markets

by Reed Smith on

On October 12, 2017, the U.S. Securities and Exchange Committee (“SEC”) held an Investor Advisory Committee (“IAC”) meeting to consider, among other things, blockchain technology and the implications for securities markets....more

Treasury Issues Report and Recommendations on Capital Markets

by Shearman & Sterling LLP on

On October 6, 2017, the US Department of the Treasury released a 220-page report on reforming the US regulatory system for the capital markets (Capital Markets Report). The Capital Markets Report includes 91 recommendations...more

What’s the current landscape for CFTC cryptocurrency regulation?

by Thompson Coburn LLP on

As cryptocurrencies such as Bitcoin enter the mainstream, entrepreneurs are exploring business models that may depend on compliance with regulatory constraints. This short article summarizes the cryptocurrency regulatory...more

FinTech Highlights from CFTC Chairman Giancarlo’s Testimony Before House Agricultural Committee

by Perkins Coie on

Earlier this week, CFTC Chairman Christopher Giancarlo testified before the House Agricultural Committee. The following are highlights of “Fin Tech” issues addressed during the course of that testimony....more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals....more

Bridging the Week - October 2017 #2

by Katten Muchin Rosenman LLP on

Treasury Calls for Better Coordination to Improve SEC and CFTC Efficiencies; Recommends Review of SROs to Minimize Conflicts and Increase Transparency: Last week, the US Department of Treasury called for more coordination...more

Bridging the Week - September 2017 #3

by Katten Muchin Rosenman LLP on

FCM Agrees to Pay US $2.5 Million CFTC Fine for Relying on Affiliate’s Purportedly Misleading Analysis of Block Trades for a CME Group Investigation: Merrill Lynch, Pierce, Fenner & Smith Incorporated agreed to pay a fine of...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

P&G is banking on “a variation of America’s electoral arithmetic” as its best bet for keeping Trian’s Nelson Peltz away from its board. So . . . we’ll see him on there soon [?]....more

The CFTC’s New Policy on Self-Reporting and Cooperation

by Reed Smith on

On September 25, 2017, the U.S. Commodity Futures Trading Commission (“CFTC”) released an Updated Advisory on Self-Reporting and Full Cooperation (the “Updated Advisory”) to supplement the cooperation advisories that it...more

Orrick's Financial Industry Week In Review

Agencies Propose Simplifying Regulatory Capital Rules - On September 27, 2017, the Federal Deposit Insurance Corporation, the Federal Reserve Board and the Office of the Comptroller of the Currency announced a proposed...more

SEC Enforcement Action Involving Initial Coin Offering Muddies Jurisdictional Waters

by Reed Smith on

Digital assets, popularly referred to as “cryptocurrencies,” “coins,” and “tokens,” continue to provoke regulatory attention and create discord among regulators. Recent actions by the U.S. Commodity Futures Trading Commission...more

Financial Services Weekly News - September 2017 #4

by Goodwin on

Editor's Note - Translating Goals Into Action.Many financial institutions likely would say that financial regulatory reform in the Trump administration has fallen short of expectations, at least so far. While various...more

Bridging the Week - October 2017

Two Commodity Pool Operators Charged by CFTC with Failure to Supervise: The Commodity Futures Trading Commission brought and settled enforcement actions against two commodity pool operators for failure to supervise. In one...more

CFTC’s Enforcement Division Announces New Focus on Self-Reporting

Upon discovering a potential violation, a company is often faced with the dilemma of whether to self-report the incident to its regulator or attempt to deal with the incident through exclusively internal means. On September...more

CFTC’s Division of Market Oversight Extends Existing Relief and Provides Additional Relief for Reporting Parties From Reporting...

On September 25, 2017, the Division of Market Oversight of the U.S. Commodity Futures Trading Commission “issued a no-action letter (CFTC Staff Letter 17-45) that extends current relief and provides additional relief to...more

The Financial Report, Vol. 6, No. 18

by DLA Piper on

Discussion and Analysis - The SEC’s recent disclosure that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system was hacked in 2016 has been receiving a lot of attention in the press. After several years of...more

Alleged Illegal Strategy Disclosed in 10-K Excuses Demand in Suit against Directors

The Delaware Court of Chancery decision in Kandell v. Niv is based on highly unusual facts but aids in the understanding of some basic elements of the fiduciary duties of directors under Delaware law. In that case FXCM,...more

The Transition Away From USD LIBOR for Swaps - A Report for U.S. Market Participants

by Moore & Van Allen PLLC on

With the Financial Conduct Authority (the “FCA”) announcing in July 2017, essentially, its intent to no longer persuade or compel panel banks to make LIBOR submissions by the end of 2021, the future of LIBOR, and its role in...more

CFTC’s Updated Enforcement Advisory Attempts To Shift Incentives In Favor Of Self-Reporting And Full Cooperation

On September 25, 2017, the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (Commission) issued an “Updated Advisory On Self Reporting And Full Cooperation.” The Enforcement Advisory was...more

Financial Services Weekly News - September 2017 #3

by Goodwin on

Editor's Note - Cybersecurity Returns to Center Stage. The Equifax breach and recent news that the Securities and Exchange Commission’s (SEC) EDGAR test filing system was hacked in 2016 have brought cybersecurity back to...more

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