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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