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2015 CFTC Year-in-Review, and a Look Forward

USA - January 26 2016 2015 marked another active and record year for the Commodity Futures Trading Commission’s (CFTC or Commission) enforcement program. The CFTC brought…

Douglas J. Davison, Paul M. Architzel, Dan M. Berkovitz, Jeannette K. Boot, Elizabeth Mitchell.

COVID-19: CFTC Advances Regulatory Agenda Despite COVID-19 Pandemic

USA - May 14 2020 The Commodity Futures Trading Commission (CFTC or Commission) continues to advance its regulatory agenda amid the COVID-19 crisis. After…

Paul M. Architzel, Yevedzo Chitiga, Petal Walker.

SEC proposes rules to oversee non-US firms’ swap activity in the United States

USA - April 30 2015 On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms' security-based swap…

Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Jeannette K. Boot, Bruce H. Newman.

CFTC Proposes “Regulation AT” for Automated Trading

USA - December 15 2015 On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US…

Douglas J. Davison, Paul M. Architzel, Dan M. Berkovitz, Jeannette K. Boot, Bruce H. Newman.

New Joint Audit Committee Regulatory Alerts Regarding Margining of Multiple Accounts With FCMs and Non-Recourse Provisions

USA - May 28 2019 On May 14, 2019, the Joint Audit Committee (JAC)1 issued two regulatory alerts calling for futures commission merchants (FCMs) to review policies and…

Aaron Friedman, Petal Walker.