Today the National Futures Association issued a press release announcing that its board approved the formation of a Swaps Proficiency Requirements Advisory Committee which will oversee the development of a Swaps Proficiency program for individuals to be tested on, according to the Commodity Exchange Act’s training standards. The exam would test Associated Persons on market […]
CFTC No Action from Including International Swaps for Global Development CFTC Reduces Marketplace Barriers for Global Development Initiatives May 16, 2018 Washington, DC — The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today granted relief to non-US counterparties who enter into swaps with International Financial Institutions (IFIs), such as development banks. […]
April saw the most enforcement actions by the CFTC for the year 2018. Some of these were the typical commodity pool schemes, precious metals schemes, spoofing, and fraud in Retail Forex; yet other enforcement actions involved new technologies such as Binary Options fraud relying on technology.
RED List Identifies Entities Operating Illegally for Binary Options and Forex Washington, DC — As part of the Commodity Futures Trading Commission’s (CFTC) ongoing efforts to help protect Americans from fraud, today the CFTC added 21 new names to the Registration Deficient List (RED List). These 21 new additions bring the total number of foreign entities […]
It seems safe to assume that the SEF registration rules will disrupt these trends, as traders will be more inclined to conduct business via single-trade platforms in order to circumvent the process altogether.
While some traders plan to fall back on other options for their insights, such as the New York Mercantile Exchange, these reports don’t offer as much data as the CFTC’s.
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.
Hurricane Sandy took a physical toll on New York City, but a joint meeting of the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC) on the topic of disaster recovery, proved that it’s not just physical damage that companies are worried about.
Also in his testimony, Gensler cited the recent progress made with cross-border swaps regulation in addition to registration of securities as positive steps forward in the CFTC’s aim to create transparency in the futures industry.
The impacts of the Commodities Futures Trading Commission’s (CFTC) response to cross-border swaps are yet unknown. With a 75 day period of guidance in addition implementation of the final ruling, this unprecedented move by the CFTC may deeply impact the derivatives market.
If you view market volatility as an opportunity to purchase more stock at a favorable price, make sure you look beyond the ticker symbol to confirm you are buying the right company. Many companies have similar names. […]
One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to review online or paper account statements and trade confirmations on a regular basis. You should review your statement as soon as you receive it to confirm it correctly reflects your investment decisions and any actions you made or authorized during the time the statement covers. […]
October 1-7, 2019 is World Investor Week, a global campaign to raise awareness about the importance of investor education and protection. U.S. securities regulators offer these key messages for Main Street investors. […]
Financial fraud routinely follows on the heels of disaster. Hurricanes and their aftermath are no exception. We are issuing this Alert to warn investors that investment scams may come your way touting stocks and other investments with the promise of huge gains in the wake of major hurricanes. […]
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security. […]
FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. This scammer created a fake version of a public FINRA BrokerCheck® report of a legitimate broker—picking an experienced broker with a spotless regulatory record. […]
Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit. Our updated Alert warns the public about job-search scams in which people who respond to ads or online job postings receive checks that appear to be from legitimate companies—including FINRA. […]
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products. […]
FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well as risks that are different from more conventional assets like stocks or bonds. […]
Fraudsters continue to impersonate FINRA executives, offering bogus investment "guarantees" to investors as part of an advance-fee scam. Read more about the lengths these fraudsters go to in creating a false sense of security. […]
Washington, DC—FIA today joined Managed Funds Association, U.S. Chamber of Commerce, Securities Industry and Financial Markets Association, American Bankers Association, American Cotton Shippers... Washington, DC - FIA today announced the election of new directors to its board at the annual board of directors meeting. The board added Paul Anderson of Deutsche Bank, Samina Anwar of...Washington, DC – Today, FIA President and CEO Walt Lukken made the following statement after the CFTC issued several no-action letters that give the derivatives industry flexibility to deal with...With the health and well-being of our society in the forefront of our minds, FIA has implemented several measures to keep members informed of issues related to the Coronavirus (COVID-19) and to...Washington, D.C.--FIA today released a study on trading and clearing trends in derivatives markets. The study assesses market sentiment towards several major market structure trends, including the...I want to thank FIA members and Boca attendees for their understanding and support of our decision to cancel the 45th Annual Boca International Futures Industry Conference due to the global...On Monday, March 9, 2020, FIA submitted a comment letter to the CFTC in response to its proposed rule regarding the cross-border application of the registration thresholds and certain requirements...(Feed generated with FetchRSS) […]
(Feed generated with FetchRSS) […]
BCBS Press release "Basel Committee sets out additional measures to alleviate the impact of Covid-19", 3 April 2020 […]
BCBS Press release "Basel Committee and IOSCO announce deferral of final implementation phases of the margin requirements for non-centrally cleared derivatives", 3 April 2020 […]
Press release "Governors and Heads of Supervision announce deferral of Basel III implementation to increase operational capacity of banks and supervisors to respond to Covid-19", 27 March 2020 […]
Press release "Basel Committee coordinates policy and supervisory response to Covid-19", 20 March 2020 […]
Press release about Basel Committee assesses members' implementation of the Net Stable Funding Ratio and large exposures framework, 19 March 2020 […]
BIS statement, 16 March 2020. […]
BIS Press Release - Shaping the future of payments: BIS Quarterly Review, 1 March 2020 […]
Basel Committee Press release "Basel Committee meets to review vulnerabilities and emerging risks, advance supervisory initiatives and promote Basel III implementationl", 27 February 2020. […]
CFTC Law Copyright © 2019.
