SEC and CFTC Continue Their Lucrative Pursuits of Penalizing ...

The Securities and Exchange Commission (SEC) has recently taken action against 26 such firms for their extensive and prolonged failures to maintain and ...

Enforcement Actions, CFTC, Securities and Exchange Commission ...

SEC and CFTC Continue Their Lucrative Pursuits of Penalizing Unapproved Communication Methods · Sullivan & Worcester on 8/28/2024. SEC's and CFTC's Enforcement ...

Viewpoints | Investment Advisers, Commodity Trading Advisors ...

Viewpoints. August 27, 2024. –Client Alert. SEC and CFTC Continue Their Lucrative Pursuits of Penalizing Unapproved Communication Methods. Sullivan Client Alert.

Erika Dennery on Noncompliance - JD Supra

SEC and CFTC Continue Their Lucrative Pursuits of Penalizing Unapproved Communication Methods. SEC's and CFTC's Enforcement Actions Against Multiple Firms ...

Fire at Will! The CFTC Continues Aggressive Stance on ...

Commodity Futures Trading Commission, Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making.

CFTC Charges Several People and Companies in a $280 Million ...

WASHINGTON, D.C. — The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court ...

Fire at Will! The CFTC Continues Aggressive Stance on ...

[1] Commodity Futures Trading Commission, Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making ...

CFTC Orders Barclays to pay $200 Million Penalty for Attempted ...

Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Barclays PLC ...

GAO-05-670, SEC and CFTC Penalties: Continued Progress Made ...

... penalty imposed on the disgorged violator; Available to SEC. Remedy: Restitution: An equitable remedy to attempt to make the victims whole. Requires proof ...

CFTC History in the 2010s

April 18, 2012—The CFTC holds an open meeting to, among other things, issue a final rule (joint with the SEC) to further define the terms “Swap Dealer,” “ ...

CFTC & SEC: The Wild West of Cryptocurrency Regulation

This Comment rejects the pursuit of defining cryptocurrency and instead proposes a regulatory framework where the two agencies regulate jointly.

CFTC Orders Trafigura to Pay $55 Million for Fraud, Manipulation ...

First CFTC Action Against an Entity for Impeding Whistleblower Communications. June 17, 2024. Washington, D.C. — The Commodity Futures Trading Commission ...

Chairman's Testimony on Virtual Currencies: The Roles of the SEC ...

The SEC and the CFTC, as federal market regulators, are charged with establishing a regulatory environment for investors and market participants.

“Trends in the CFTC's Recent Crypto Enforcement Actions” | CFTC

While we continue to bring fraud cases, the landscape is changing. The digital asset marketplace has matured greatly in the sixteen years since ...

CFTC and SEC Perspectives on Cryptocurrency and Digital Assets

SEC Chair Gary Gensler has stated that “[crypto] products are subject to the securities laws and must work within our securities regime,”2 while ...

Joint Report of the SEC and the CFTC on Harmonization of Regulation

... the regulation of over-the-counter derivatives. • The SEC and CFTC regimes should further encourage cross-border access with respect to ...