Commodity Futures Trading Commission; Securities and Exchange Commission. ACTION: Joint final rule; joint interim final rule; interpretations; correction. SUMMARY: The Commodity …
Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”), in consultation with the Board of Governors of the …
The Commodity Futures Trading Commission (the “CFTC”) and the Securities and Exchange Commission (the “SEC” and, together with the CFTC, the “Commissions”) are reopening the …
Commodity Futures Trading Commission; Securities and Exchange Commission. ACTION: Final interpretation. SUMMARY: In accordance with section 712(d)(4) of the Dodd-Frank Wall Street …
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This is a report of the findings by the staff s of the U.S. Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission. The Commissions have expressed no …
Final Rule: Applicability of CFTC and SEC Customer Protection ...
Jul 17, 2001 · I. Introduction The CFMA, 1 which became law on December 21, 2000, amended the CEA and the Exchange Act to permit the trading of single stock and narrow-based stock …
Issues (the "Committee") for consideration by the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC," and collectively the …
Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) (collectively, “the Commissions”), in consultation with the Board of Governors of the Federal …
Investment Advisers with the SEC and as Commodity Pool Operators with the CFTC, and SFPs. ARTICLE 1: DEFINITIONS For purposes of this MOU: "CEA" shall refer to the Commodity …
Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on …
Oct 11, 2019 · The leaders of the U.S. Commodity Futures Trading Commission, the Financial Crimes Enforcement Network, and the U.S. Securities and Exchange Commission (the …