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- Industry Comments to Regulation AT Argue CFTC Proposed Rules Too Prescriptive; Registration and Source Code Requirements Particularly Objectionable
- CFTC Approves Substituted Compliance Framework for EU Based DCOs; EC Formally Recognizes US CCPs as Subject to Equivalent Regulation
- Fund Manager Resolves CFTC Charges Related to Material Misstatements and Omissions by Agreement to Pay Over US $5.65 Million in Disgorgement and Fine
- Investment Adviser Agrees to Pay More Than US $9.5 Million to SEC for Steering Clients to Funds’ Share Classes With Higher Fees When Share Classes With Cheaper Charges Available
- CFTC Adopts Final Trade Option Rule and Eliminates Certain Reporting and Recordkeeping Requirements for Commercial End Users
- Retail Forex Dealer Fined by CFTC for Failing to Meet Minimum Capital Requirements and Notification Requirement; Agrees to Withdraw Membership to Resolve Parallel NFA Charges
- IB and Principal Fined for Fabricating and Lying About Email Purportedly From NFA