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CFTC Publishes Enforcement Manual

By Steve Quinlivan on 05/08/2019

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CFTC Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices

By Steve Quinlivan on 03/11/2019

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Treasury’s Recommendations for the Volcker Rule

By Steve Quinlivan on 07/19/2017

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CFTC Revises Record Keeping Requirements

By Steve Quinlivan on 05/24/2017

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CFTC Revises Whistleblower Rule to Enhance Anti-Retaliation Protection

By Steve Quinlivan on 05/22/2017

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CFTC Requests Public Input on Simplifying Rules

By Steve Quinlivan on 05/04/2017

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CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

By Steve Quinlivan on 05/03/2017

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CFTC Initiates Project KISS

By Steve Quinlivan on 03/31/2017

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Corzine Settles CFTC’s MF Global Charges for $5 Million

By Steve Quinlivan on 01/05/2017

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SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps

By Steve Quinlivan on 12/06/2016

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