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Futures & Derivatives Law Report

USA - April 12 2018 The Commodity Futures Trading Commission (CFTC or Commission) recently took several steps to further encourage cooperation with and self-reporting to…

Paul M. Architzel, Matthew Beville, Daniel J. Martin.

New CFTC Enforcement Policy Encourages Self-Reporting

USA - September 27 2017 In January of this year, the Commodity Futures Trading Commission's (CFTC or Commission) Division of Enforcement (the Division) issued revised…

Paul M. Architzel, Anjan Sahni.

CFTC Rewrites Recordkeeping Requirements

USA - June 1 2017 The Commodity Futures Trading Commission (CFTC or Commission) has significantly amended its recordkeeping requirements, a change that will affect all…

Paul M. Architzel, Gail C. Bernstein.

CFTC Increases Anti-Retaliation Protections for Whistleblowers

USA - May 24 2017 On May 22, 2017, the Commodity Futures Trading Commission (CFTC or Commission) amended its whistleblower rules to enhance protections for…

Paul M. Architzel, Gail C. Bernstein.

SEC issues cybersecurity examination Risk Alert

USA - September 18 2015 On September 15, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert…

Jonathan G. Cedarbaum, Yoon-Young Lee.