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- Retail Foreign Exchange Dealer Agrees With CFTC and NFA to Cease Doing Business for Concealing Relationship With Closely Tied Market Maker
- SEC OCIE Provides Top Five List of Most-Identified Compliance Topics During Investment Adviser Examinations
- CPO and Owner Sanctioned by CFTC for Violations of Law and Rules
- CFTC Staff Grants Six-Month Delay for Firms to File Mandatory Disaggregation Notices
- No-Action Relief Regarding CPO Delegations Penned by CFTC's Division of Swap Dealer and Intermediary Oversight