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Enforcement Trends

8 September 2017 4:00pm EDT

On Aug. 7, the CFTC announced a settlement with The Bank of Tokyo-Mitsubishi UFJ for engaging in "multiple acts of spoofing" in interest rate futures listed on the Chicago Mercantile Exchange and...

Legal Liability

1 September 2017 4:00pm EDT

On July 10, the Consumer Financial Protection Bureau, a U.S. government agency created through DoddFrank, issued a final rule on pre-dispute arbitration agreements. The rule prohibits financial...

Safety Margin

1 September 2017 4:00pm EDT

On July 17, ICE Clear US implemented a new concentration charge for positions held by clearing members that are above a certain threshold. The new policy will apply only to agricultural contracts...

Back to the Future

1 September 2017 4:00pm EDT

On August 2, around 26 million options orders were made and filled the way they have been for more than a decade now, with robots on either side and filled within nanoseconds. Yet that same day,...

Better Data

1 September 2017 4:00pm EDT

The Commodity Futures Trading Commission's Division of Market Oversight on July 10 launched a comprehensive review of its swap data reporting regulations and invited input from entities involved...

Capital Calculations

1 September 2017 4:00pm EDT

On Aug. 14, the Federal Reserve, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation jointly issued guidance regarding the regulatory capital treatment of...

Swap Trading

15 June 2017 4:00pm EDT

Tim Massad, chairman of the Commodity Futures Trading Commission, gave several speeches in April on the need to adjust the CFTC's rules for swap execution facilities. He announced several actions...

Project KISS

8 June 2017 4:00pm EDT

On March 15, Chris Giancarlo, the acting chairman of the Commodity Futures Trading Commission, announced a three-pronged plan to renovate derivatives regulation that he called Project KISS, which...

Automated Trading

8 June 2017 4:00pm EDT

On May 1, FIA and the FIA Principal Traders Group submitted a joint comment letter opposing overly prescriptive regulation of automated trading. The comment was filed in response to the Commodity...