Division of Enforcement Director to step down in October

According to CFTV.gov, the Commodity Futures Trading Commission has stated that the current Division of Enforcement Director, David Meister, will be stepping down from his position in October. A graduate of the Columbia University School of Law, David Meister was quite prolific during his time as Director,...

CFTC allows for a few delays in swap trade initiatives

According to Reuters, the Commodity Futures Trading Commission (CFTC), who has by and large refused to budge on its October 2nd deadline for SEF’s to implement its new rules, will allow for a delay in a few of its initiatives. In an effort to increase transparency and minimize the risk associated with the...

Gensler’s assessment of the CFTC: A Summary

Chairman of the Commodity Futures Trading Commission (CFTC) Gary Gensler seemed to be overall satisfied with the CFTC’s current progress and future plans as he spoke in front of the International Group of Treasury Associations and the U.S. Chamber of Commerce recently. Beginning his speech, Chairman...

Uncertainty in CFTC: Successor to Chairman Position Remains Unclear as Gensler Nears End of Term.

As reported by Reuters, there is a potential void looming over the Commodity Futures Trading Commission’s top position as current chairman Gary Gensler ‘s five year term comes to an end. With the U.S. economy still limping through a recovery from the financial crisis of 2008, thought in large part to...

CFTC Ends Five Year Investigation of Silver Market

According to CFTC.gov, the Commodity Futures Trading Commission (CFTC) has closed its investigation on the silver market after five years. While the CFTC normally keeps a tight lid on its investigations, it has decided to announce this finalization publicly due to the amount of time that has passed since...

CFTC grants temporary registration to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation

The U.S. Commodity Futures Trading Commission (CFTC) has approved the applications of SwapEx LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation for temporary registration as swap execution facilities (SEFs) pursuant to section 5h of the Commodity Exchange Act and section 37.3(c) of the...

Third Phase of Mandatory Clearing Begins

The third phase of mandatory compliance with clearing requirements for certain Credit Default Swaps and Interest Rate Swaps was implemented on September 9, 2013. The most recent round of implementation will affect third-party investment managers and ERISA pension plans (“Category 3 Entities”), and other...

CFTC Publishes Concept Release on Risk Controls and System Safeguards for Automated Trading in the Federal Register

The U.S. Commodity Futures Trading Commission today published a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments in the Federal Register. The Release is intended to serve as an overview of potential measures that may be able reduce the likelihood and mitigate the...

Obama Puts Pressure on Regulators to Push Dodd-Frank

President Barack Obama met with Wall St regulators on Monday, August 19th 2013 to discuss the progress made after the 2010 passing of the Dodd-Frank Act. According to The Wall Street Journal, Obama is urging key regulators to implement many sections of the Act in order to avoid any situation similar to the...

Top Regulators Meet With Obama On Dodd-Frank Progress

It was announced on Sunday that President Obama is planning to meet with key regulatory officials Today to discuss the advancement of Dodd-Frank. Representatives from the Treasury, the Consumer Financial Protection Bureau, the Federal Housing Finance Agency, the Commodity Futures Trading Commission, the...
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