Tag Archives: CFTC

CFTC Commissioner Scott O’Malia spoke before Energy Risk USA’s recent conference on the commission’s “unknown unknowns,” areas of the rule implementation process that are “impossible to identify, but in hindsight…are the result of the Commission’s inconsistent rules.” O’Malia said the … Read More…

The SEC voted unanimously on Wednesday, in conjunction with the CFTC, to adopt rules requiring mutual funds, investment advisers, broker-dealers and other regulated entities to adopt programs to detect and prevent identity theft. The rules, as mandated by the Dodd-Frank … Read More…

Under the 2014 fiscal year budget, President Obama requested a 27 percent increase and a 54 percent increase, respectively, in the budgets of the SEC and CFTC, both of which have stressed the need for additional funding. The SEC’s budget … Read More…

On Monday, the CFTC issued a final rule that would exempt swaps between entities within a corporate group from certain clearing requirements under Dodd-Frank. Under Dodd-Frank, the Commodity Exchange Act was amended to require the clearing of certain swap transactions. … Read More…

As the CFTC wraps up its Dodd-Frank-mandated rulemakings, Commissioner Scott O’Malia has sought to make corrections to some of the rules, including a fix to the swap dealer definition. The swap dealer definition, which is based partly on firms’ self-admission … Read More…