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  • CFTC Adopts Final Rules Related to Aggregation of Positions and Owned Entity Exemption; Re-Proposes Position Limits Rules
  • Supreme Court Rules Sharing of Nonpublic Information With Relative Is Sufficient To Find Illegal Insider Trading in Tipper/Tippee Context
  • Judge Questions CFTC’s Theory of Markets in DRW Alleged Manipulation Case During Closing Arguments
  • Company Settles With SEC for Transacting in OTC Pre-IPO Security-Based Swaps Contracts With Non-Eligible Contract Participants
  • ICE Futures Criticized in CFTC Rule Review for Not Completing Investigations in One Year or Less
  • International Swap Dealer Settles With CFTC for Alleged Failure to Timely Report Certain OTC Swaps
  • Broker-Dealer Agrees To Pay US $16.5 Million To Resolve FINRA Charges That It Had Deficient AML Program
  • Political Update: The Potential New CFTC Chair Suggesteth and the Current CFTC Chair Revieweth