Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • FINRA Materials
        • FINRA: Rule by Rule
        • Muni Advisors
        • Muni Securities and Dealers
        • Muni Securities Documents
        • MSRB Rules: Rule by Rule
        • Government Securities Dealers
        • 100's More Broker-Dealer Topics
        • Capital Requirements
        • Regulation Best Interest
        • Non-U.S. Broker-Dealer (Rule 15a-6)
    • Commodity Exchange Act
      • Commodity Exchange Act
        • Overview
        • CFTC Supervision and CCO
        • Position Limits
        • FCMs
        • FCM / IB Registration Requirement
        • BD and FCM Risk Assessment Rules
        • BD and FCM Subordination Agreements
        • BD and CEA Withdrawals of Capital
        • FCM Capital
        • FCMs and Swap Dealer Custody
        • More CEA Topics
        • Swaps and Swap Dealers
        • Margin for Uncleared Swaps
        • FCMs and Swap Dealer Custody
        • Swap Dealer and SBSD Capital
        • CPOs and CTAs
        • Disclosures
        • Recordkeeping
        • Registration Process
        • Registration Requirement
        • Reporting on Form PQR, and Form PR
    • Advisers, Funds and Plans
      • Advisers, Funds and Plans
        • Overview
        • ERISA
        • Investment Advisers Act: By Section and By Rule
        • Municipal Advisors
        • IA Regulation
        • Standard of Conduct and Fiduciary Guidance
        • Business Continuity
        • Incentive Compensation
        • Marketing Materials
        • Pay to Play
        • Recordkeeping and Reporting
        • Registration Requirement
        • SEA 13(f) Position Reporting
        • Soft Dollars
        • Custody Requirements
        • Definition of Investment Adviser
        • Form CRS
        • More Adviser and Funds Topics
        • Investment Companies
        • Overview of Exemptions from Registration under the ICA
        • Capital Structure, Senior Securities, Liquidity
        • Custody Requirements
    • Banking
      • Banking
        • Overview
        • FRA 23A and 23B and Reg W
        • Community Reinvestment Act
        • Volcker
        • Truth in Lending
        • Truth in Savings
        • Capital Requirements
        • Enforcement Procedures
        • Money Service Businesses
      • Products and Contracts
        • Products and Contracts
          • Cannabis Finance
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Government Securities and Dealers
          • LIBOR and Indices
          • Municipal Securities and Dealers
          • Securities Lending
          • Securities Options
          • Security Futures Products
          • TBAs and the MSFTA
          • Asset-Backed Securities
          • Overview
          • ABS Qualifying Residential Mortgage and Other Exempt Loans
          • BD Communications about CMOs
          • Credit Rating Agencies and Credit Ratings
          • Credit Risk Retention
          • Due Diligence Reports
          • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
          • LIBOR and Indices
          • Marketplace Lending
          • Regulation AB
          • TBAs and the MSFTA
      • Credit and Insolvency
        • Credit and Insolvency
          • Overview
          • BD Insolvency
          • FCM Insolvency
          • Insolvency of Banks
          • Protected Financial Contracts
          • Security Interests and UCC
        • Cybersecurity
          • Cybersecurity
            • Cybersecurity and Data Protection
          • Enforcement and Bad Acts
            • Enforcement and Bad Acts
              • Anti-Money Laundering
              • Disqualifications and Waivers
              • Foreign Corrupt Practices Act
              • Insider Trading
              • SEC and FINRA
              • Sanctions
              • Whistleblowers
            • Investors
              • Investors
                • Comm. on Foreign Investment in US ("CFIUS")
                • Hart-Scott-Rodino
                • SEA 13(f) Position Reporting
              • Issuers and Offerings
                • Issuers and Offerings
                  • Asset-Backed Securities
                  • Conflict Minerals
                  • Issuer Repurchases Rule 10b-18
                  • Issuer Securities Regulation and Del. Corp. Law
                  • Regulation FD (Fair Disclosure)
                  • Securities Offerings
                  • Corporate Financing Rule
                  • FINRA Private Placement Rules (5122 and 5123)
                • Regulatory Policy
                  • Regulatory Policy
                    • Dodd-Frank
                    • Policy
                • Documents
                  • Federal Securities
                    • Federal Securities
                      • Statutes
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Trust Indenture Act
                      • Rules
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Securities Act / Securities Exchange Act Regulations
                      • Trust Indenture Act Rules
                      • More Federal Securities Laws, Rules and Other Documents
                      • SEC Administrative Materials
                      • SEC Federal Registers
                      • SEC Enforcement Releases
                      • SEC No-Action Letters
                      • SEC Forms
                      • Securities SROs
                      • FINRA Rules
                      • MSRB Rules
                      • FINRA / MSRB Notices
                      • SRO Federal Registers
                      • SRO Enforcement Releases
                  • Commodity Exchange Act and Energy
                    • Commodity Exchange Act and Energy
                      • CEA and Related Rules
                      • CEA
                      • CFTC Rules
                      • NFA Rules
                      • CEA Judicial Decisions
                      • Supreme Court and Circuit Court Cases
                      • More CEA-Related Documents
                      • CFTC Documents
                      • CFTC Fact Sheets
                      • CEA FAQs
                      • CEA Federal Registers
                      • CFTC Guidance on Cross-Border Futures Transactions
                      • CFTC Guidance on Cross-Border Swaps
                      • CFTC Orders
                      • CFTC No-Action Letters
                      • CEA Speeches, Statements and Testimony
                      • CEA Studies and Reports
                      • NFA Documents
                      • NFA Notices
                      • NFA Regulatory Guidance
                  • Federal Banking
                    • Federal Banking
                      • Statutes
                      • Antitying Act
                      • Bank Holding Company Act of 1956
                      • Community Reinvestment Act
                      • Consumer Credit Protection Statutes
                        • Truth in Lending Act
                        • Consumer Leasing Act
                        • Fair Credit Reporting Act
                        • Equal Credit Opportunity Act
                        • Fair Debt Collection Practices Act
                        • Electronic Fund Transfers Act
                      • Federal Deposit Insurance Act
                      • Federal Reserve Act
                      • International Banking Act
                      • National Banking Act
                      • Real Estate Settlement Procedures Act
                      • More Banking Laws, Rules and Other Documents
                      • Rules
                      • Comptroller Rules
                      • FDIC Rules
                      • FRB Rules
                      • Government Securities Act Rules
                      • CFPB Rules
                      • Banking Guidance
                      • Comptroller Handbooks
                      • Comptroller Interpretive Letters
                      • FDIC Financial Institution Letters
                      • FRB Compliance Guides
                      • FRB Supervision and Regulation Letters
                      • CFPB Supervisory Highlights
                  • ERISA
                    • ERISA
                      • Statutes
                      • Employee Retirement Income Security Act
                      • Internal Revenue Code Provisions Related to ERISA
                      • Rules
                      • ERISA Rules
                      • Internal Revenue Regulations Related to ERISA
                      • Other Documents
                      • DOL Federal Registers
                      • DOL FAQs
                      • DOL Glossaries
                      • Pension Benefit Guaranty Corporation Federal Registers
                  • Credit
                    • Credit
                      • Bankruptcy Laws
                      • Bankruptcy Code
                      • Federal Deposit Insurance Corporation Improvement Act
                      • SIPA
                      • Securities Investor Protection Act
                      • Securities Investor Protection Corporation Rules
                      • SIPC Letters and Interpretations
                      • SIPC Annual Reports
                      • State Law
                      • New York Statute
                      • Other Documents
                      • Bankruptcy Basics​
                      • Hague Convention
                      • Court Decisions
                      • NYDFS Letters on Bank Insolvency
                  • AML, FCPA and Sanctions
                    • AML, FCPA and Sanctions
                      • AML
                      • Bank Secrecy Act
                      • Bank Secrecy Act Rules
                      • Federal Crime of Money Laundering
                      • NY Penal Law, Article 470
                      • FinCEN Advisories
                      • FinCEN FAQs
                      • FinCEN Federal Registers
                      • More AML Laws, Rules and Other Documents
                      • FCPA
                      • 15 USC 78dd
                      • 15 USC 78m
                      • FCPA Resource Guide
                      • More FCPA Laws, Rules and Other Documents
                      • Sanctions
                      • Statutes Relevant to Sanctions
                      • Sanctions Rule
                      • OFAC Federal Registers
                      • Executive Orders
                      • More Sanctions Laws, Rules and Other Documents
                  • NASAA and State Law
                    • NASAA and State Law
                      • NASAA
                      • Uniform Securities Act
                      • Uniform Securities Act (1956), As Amended
                      • Model Rules: Advisers
                      • Model Rules: Broker-Dealers
                      • Model Rules: Offerings
                      • Delaware
                      • Delaware General Corporation Law
                      • New York Statutes
                      • Martin Act
                      • Requirement of Written Agreement
                      • Anti-Money Laundering
                      • New York Rules and Interpretations
                      • Virtual Currencies Regulation
                      • Annuity Regulations
                      • NYDFS Letters on Bank Insolvency
                  • Antitrust and CFIUS
                    • Antitrust and CFIUS
                      • Hart-Scott-Rodino
                      • Act
                      • Rules
                      • HSR Guidance
                      • HSR - Introductory Guide I
                      • HSR - Introductory Guide II
                      • HSR: Back to Basics Workshop Transcript
                      • The Most Frequently Asked HSR Questions
                      • CFIUS
                      • Defense Production Act
                      • Rules
                      • Federal Registers
                      • Executive Orders
                  • Statutes, Rules and Public Laws
                    • Statutes, Rules and Public Laws
                      • All Statutes
                      • All Rules
                      • All Public Laws
                    • Analytic Materials
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                        • CEA Guide
                        • Hedge Fund Guide
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                    • Individuals and Organizations
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • Elizabeth A. Warren
                        • Steven T. Mnuchin
                        • J. Christopher Giancarlo
                        • Jerome H. Powell
                        • Randal Quarles
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                  • Events
                  • News
                  • Tools
                    • Glossaries
                    • Interactive Applications
                    • Change Management Tracker
                  • About
                    • About News
                    • About Berkeley
                    • Contributors
                    • Help
                    • Purpose
                  • Sign in
                  Advanced Search

                  Not just data.
                  Information in context.

                  News & Headlines

                  Receive our daily newsletter

                  969 results
                  Search Narrowed by Text
                  Search Terms

                  Search Narrowed by Categories
                  • Remove CEA Regulation filter CEA Regulation
                  • Remove Insurance filter Insurance
                  • Remove CFTC filter CFTC
                  date:
                  body of law:
                  • Remove CEA Regulation filter CEA Regulation
                  • Remove Insurance filter Insurance
                  • Securities Apply Securities filter 45
                  • Banking Apply Banking filter 34
                  • Energy Apply Energy filter 15
                  • Contracts Apply Contracts filter 11
                  • Privacy / Data Protection / Cybersecurity Apply Privacy / Data Protection / Cybersecurity filter 11
                  • Insolvency Apply Insolvency filter 8
                  • AML Apply AML filter 4
                  • Accounting Apply Accounting filter 2
                  • FCPA Apply FCPA filter 2
                  • Antitrust Apply Antitrust filter 1
                  • ERISA / Pension Apply ERISA / Pension filter 1
                  • Sanctions Apply Sanctions filter 1
                  issuing jurisdiction:
                  • United States Apply United States filter 962
                  • US - Federal Apply US - Federal filter 962
                  • Europe Apply Europe filter 26
                  • Global Apply Global filter 23
                  • European Union Apply European Union filter 12
                  • United Kingdom Apply United Kingdom filter 10
                  • Canada Apply Canada filter 3
                  • Asia Apply Asia filter 2
                  • States Apply States filter 2
                  • Germany Apply Germany filter 1
                  • Japan Apply Japan filter 1
                  • Latam Apply Latam filter 1
                  • Mexico Apply Mexico filter 1
                  • New York Apply New York filter 1
                  • Singapore Apply Singapore filter 1
                  author organization:
                  • Remove CFTC filter CFTC
                  • Cadwalader Apply Cadwalader filter 234
                  • NFA Apply NFA filter 181
                  • Industry Associations Apply Industry Associations filter 162
                  • ISDA Apply ISDA filter 127
                  • US Congress Apply US Congress filter 119
                  • SEC Exchanges and Clearing Corps. Apply SEC Exchanges and Clearing Corps. filter 53
                  • CME Apply CME filter 51
                  • Securities Future Exchanges Apply Securities Future Exchanges filter 51
                  • SIFMA Apply SIFMA filter 45
                  • Int. Organizations Apply Int. Organizations filter 39
                  • SEC Apply SEC filter 38
                  • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 31
                  • News Orgs / Blogs* Apply News Orgs / Blogs* filter 29
                  • IOSCO Apply IOSCO filter 28
                  • FIA Apply FIA filter 26
                  • Institute of International Bankers Apply Institute of International Bankers filter 23
                  • Comptroller Apply Comptroller filter 21
                  • FDIC Apply FDIC filter 20
                  • Managed Funds Association Apply Managed Funds Association filter 19
                  • US Courts Apply US Courts filter 19
                  • Energy Metro Desk Apply Energy Metro Desk filter 18
                  • US District Court Apply US District Court filter 14
                  • Treasury Apply Treasury filter 13
                  • Streetwise Prof. (C. Pirrong) Apply Streetwise Prof. (C. Pirrong) filter 11
                  • ARRC Apply ARRC filter 9
                  • Basel Apply Basel filter 8
                  • DOJ Apply DOJ filter 8
                  • FHFA Apply FHFA filter 8
                  • Financial Stability Board Apply Financial Stability Board filter 7
                  • President / White House Apply President / White House filter 7
                  • European Commission Apply European Commission filter 6
                  • Financial Conduct Authority Apply Financial Conduct Authority filter 6
                  • FINRA Apply FINRA filter 6
                  • Farm Credit Administration Apply Farm Credit Administration filter 5
                  • US Government Research Entities Apply US Government Research Entities filter 5
                  • FinCEN Apply FinCEN filter 4
                  • OFR Apply OFR filter 4
                  • US Court of Appeals Apply US Court of Appeals filter 4
                  • BIS Apply BIS filter 3
                  • European Banking Authority Apply European Banking Authority filter 3
                  • NASAA Apply NASAA filter 3
                  • New York Apply New York filter 3
                  • Trade Associations Apply Trade Associations filter 3
                  • US Chamber of Commerce Apply US Chamber of Commerce filter 3
                  • Academics Apply Academics filter 2
                  • AIMA Apply AIMA filter 2
                  • American Bankers Assoc. Apply American Bankers Assoc. filter 2
                  • CFPB Apply CFPB filter 2
                  • Company Apply Company filter 2
                  • DOL Apply DOL filter 2
                  • FATF Apply FATF filter 2
                  • FSOC Apply FSOC filter 2
                  • Global Foreign Exchange Committee Apply Global Foreign Exchange Committee filter 2
                  • ICI Apply ICI filter 2
                  • ICMA Apply ICMA filter 2
                  • NYDFS Apply NYDFS filter 2
                  • Securities Traders Association Apply Securities Traders Association filter 2
                  • 9th Cir. Apply 9th Cir. filter 1
                  • 10th Cir. Apply 10th Cir. filter 1
                  • Bank of England Apply Bank of England filter 1
                  • GAO Apply GAO filter 1
                  • Global Financial Markets Association Apply Global Financial Markets Association filter 1
                  • HM Treasury Apply HM Treasury filter 1
                  • ICE Clear Europe Apply ICE Clear Europe filter 1
                  • Law Firm Apply Law Firm filter 1
                  • SEC Clearing Agencies Apply SEC Clearing Agencies filter 1
                  • US Supreme Court Apply US Supreme Court filter 1
                  news type:
                  • Legal / Regulatory News Apply Legal / Regulatory News filter 776
                  • Enforcement News Apply Enforcement News filter 192
                  enforcement type:
                  federal register type:
                  book compilation:
                  regulatory status:
                  regulated activities:
                  • Trading Apply Trading filter 193
                  • Cross-Border Apply Cross-Border filter 159
                  • Registration Requirement Apply Registration Requirement filter 154
                  • Regulatory Reporting Apply Regulatory Reporting filter 108
                  • Central Clearing Apply Central Clearing filter 90
                  • Regulatory Oversight Apply Regulatory Oversight filter 83
                  • Fintech Apply Fintech filter 76
                  • Position Limits Apply Position Limits filter 67
                  • Margining Apply Margining filter 66
                  • Regulatory Activities Apply Regulatory Activities filter 59
                  • Supervision / Compliance Apply Supervision / Compliance filter 51
                  • Trade Reporting Apply Trade Reporting filter 50
                  • Regulatory Exemptions Apply Regulatory Exemptions filter 45
                  • Disclosures Apply Disclosures filter 43
                  • Recordkeeping Apply Recordkeeping filter 37
                  • Technology (not Cyber) Apply Technology (not Cyber) filter 37
                  • Custody Apply Custody filter 34
                  • Regulatory Personnel Apply Regulatory Personnel filter 34
                  • Capital Apply Capital filter 25
                  • Meetings Apply Meetings filter 18
                  • Registration Process Apply Registration Process filter 18
                  • CCO Obligations Apply CCO Obligations filter 17
                  • Governance Apply Governance filter 17
                  • Rulemaking Apply Rulemaking filter 16
                  • 557 Apply 557 filter 15
                  • Data Protection / Cybersecurity Apply Data Protection / Cybersecurity filter 14
                  • Risk Management Apply Risk Management filter 14
                  • Enforcement Procedures Apply Enforcement Procedures filter 13
                  • Regulatory Organization Apply Regulatory Organization filter 13
                  • Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 12
                  • Liquidity Requirements Apply Liquidity Requirements filter 12
                  • Ownership Apply Ownership filter 12
                  • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 11
                  • Stress Testing Apply Stress Testing filter 11
                  • Volcker Apply Volcker filter 11
                  • Accounting and Audit Apply Accounting and Audit filter 10
                  • Communications Apply Communications filter 10
                  • Employees Apply Employees filter 8
                  • Close-Out Apply Close-Out filter 7
                  • Hedging Apply Hedging filter 7
                  • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 7
                  • 1602 Apply 1602 filter 6
                  • Account Handling Apply Account Handling filter 6
                  • Conflicts of Interest Apply Conflicts of Interest filter 6
                  • Liquidation Apply Liquidation filter 6
                  • Sales Apply Sales filter 6
                  • Activity Limits Apply Activity Limits filter 5
                  • Business Continuity Apply Business Continuity filter 5
                  • Confirmations Apply Confirmations filter 5
                  • Exchange Listing Apply Exchange Listing filter 5
                  • Permitted Investments Apply Permitted Investments filter 5
                  • Privacy Rights Apply Privacy Rights filter 5
                  • Trade Settlement Apply Trade Settlement filter 5
                  • Valuation and Appraisal Apply Valuation and Appraisal filter 5
                  • Account Statements Apply Account Statements filter 4
                  • Regulatory Fees Apply Regulatory Fees filter 4
                  • Trade Documentation Apply Trade Documentation filter 4
                  • 1804 Apply 1804 filter 3
                  • Algo / Electronic Apply Algo / Electronic filter 3
                  • AML Compliance Apply AML Compliance filter 3
                  • Jurisdiction: Fed / Local or by Geography Apply Jurisdiction: Fed / Local or by Geography filter 3
                  • Trade Types Apply Trade Types filter 3
                  • Advice and Fiduciary Apply Advice and Fiduciary filter 2
                  • Arbitration / Litigation Apply Arbitration / Litigation filter 2
                  • Codes of Ethics Apply Codes of Ethics filter 2
                  • Hedging Apply Hedging filter 2
                  • Insider Trading Apply Insider Trading filter 2
                  • Legislative / Rulemaking Process Apply Legislative / Rulemaking Process filter 2
                  • Misconduct Apply Misconduct filter 2
                  • Operations Apply Operations filter 2
                  • Research Apply Research filter 2
                  • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 2
                  • Capital Markets Apply Capital Markets filter 1
                  • Contract Terms Apply Contract Terms filter 1
                  • Counterparty Types Apply Counterparty Types filter 1
                  • Exchange and Tender Offers Apply Exchange and Tender Offers filter 1
                  • Exempt Sales Apply Exempt Sales filter 1
                  • Fees to Customers Apply Fees to Customers filter 1
                  • Lending Apply Lending filter 1
                  • Marketing Materials Apply Marketing Materials filter 1
                  • Outsourcing Apply Outsourcing filter 1
                  • Private Placements (Reg D) Apply Private Placements (Reg D) filter 1
                  • Regulatory Procedures Apply Regulatory Procedures filter 1
                  • Regulatory Structure Apply Regulatory Structure filter 1
                  • Telemarketing Apply Telemarketing filter 1
                  • Waiver Apply Waiver filter 1
                  regulated entities:
                  • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 227
                  • FCMs and IBs Apply FCMs and IBs filter 184
                  • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 145
                  • Regulatory Agencies Apply Regulatory Agencies filter 143
                  • Markets Apply Markets filter 123
                  • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 115
                  • Clearing Orgs. Apply Clearing Orgs. filter 105
                  • SEFs / SBSEFs Apply SEFs / SBSEFs filter 84
                  • Foreign Entities Apply Foreign Entities filter 78
                  • Exchanges / Contract Markets Apply Exchanges / Contract Markets filter 44
                  • Banking Entities Apply Banking Entities filter 35
                  • Banking Organizations Apply Banking Organizations filter 29
                  • RFDs / FDMs Apply RFDs / FDMs filter 21
                  • Whistleblowers Apply Whistleblowers filter 17
                  • Broker-Dealers Apply Broker-Dealers filter 16
                  • Foreign Governments Apply Foreign Governments filter 14
                  • Investment Funds Apply Investment Funds filter 14
                  • SDRs Apply SDRs filter 14
                  • Public Funds Apply Public Funds filter 9
                  • Commercial Parties Apply Commercial Parties filter 7
                  • Futures Association Apply Futures Association filter 7
                  • Securities SROs Apply Securities SROs filter 7
                  • FB / FTs Apply FB / FTs filter 6
                  • Issuers Apply Issuers filter 5
                  • Private Funds Apply Private Funds filter 5
                  • Accountants / Attorneys Apply Accountants / Attorneys filter 1
                  • ATSs / ECNs Apply ATSs / ECNs filter 1
                  • Creditors / Lenders Apply Creditors / Lenders filter 1
                  • Emerging Growth Companies Apply Emerging Growth Companies filter 1
                  • Investor Status Apply Investor Status filter 1
                  • Plans Apply Plans filter 1
                  • SEC-Registered Issuers Apply SEC-Registered Issuers filter 1
                  • Utilities Apply Utilities filter 1
                  regulated products:
                  • Swaps / SBS Apply Swaps / SBS filter 308
                  • Futures Apply Futures filter 160
                  • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 53
                  • FX Apply FX filter 29
                  • Options Apply Options filter 29
                  • Energy Products Apply Energy Products filter 26
                  • Ags Apply Ags filter 23
                  • Indices Apply Indices filter 19
                  • Metals Apply Metals filter 13
                  • Foreign Products Apply Foreign Products filter 11
                  • Security Futures / Prod. Apply Security Futures / Prod. filter 11
                  • Funds Apply Funds filter 5
                  • Governments (US) Apply Governments (US) filter 5
                  • Securities Apply Securities filter 5
                  • Debt Apply Debt filter 3
                  • Forwards Apply Forwards filter 3
                  • Private Fund (as Product) Apply Private Fund (as Product) filter 2
                  • Public Funds (as Product) Apply Public Funds (as Product) filter 2
                  • ABS Apply ABS filter 1
                  • Commodity Apply Commodity filter 1
                  • Insurance (as product) Apply Insurance (as product) filter 1
                  affected jurisdiction:
                  • United Kingdom Apply United Kingdom filter 7
                  • European Union Apply European Union filter 6
                  • Japan Apply Japan filter 3
                  • Australia Apply Australia filter 2
                  • China Apply China filter 2
                  • India Apply India filter 2
                  • Bulgaria Apply Bulgaria filter 1
                  • Canada Apply Canada filter 1
                  • France Apply France filter 1
                  • Germany Apply Germany filter 1
                  • Ireland Apply Ireland filter 1
                  • Libya Apply Libya filter 1
                  • Netherlands Apply Netherlands filter 1
                  • Norway Apply Norway filter 1
                  • Saint Vincent and the Grenadines Apply Saint Vincent and the Grenadines filter 1
                  • Singapore Apply Singapore filter 1
                  • South Korea Apply South Korea filter 1
                  • US - Federal Apply US - Federal filter 1
                  penalty amount (approximate):
                  disgorgement amount (approximate):
                  • December 10, 2019

                    CFTC Chair Heath Tarbert Compares Benefits of Principles- and Rules-Based Regulatory Approaches

                    CFTC Chair Heath P. Tarbert compared the benefits of using a principles-based approach with those of a rules-based approach to regulation.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • December 10, 2019

                    Federal Register: CFTC Adopts Amendments to CPO and CTA Registration and Reporting Requirements

                    The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published in the Federal Register.
                  • December 09, 2019

                    CFTC Grants Relief Concerning Application of Minimum Transfer Amounts under Uncleared Margin Rules

                    The CFTC Division of Swap Dealer and Intermediary Oversight granted time-limited no-action relief relating to the application of minimum transfer amounts under uncleared margin requirements.
                    nihal.patel@cwt.com's picture
                    Commentary by Nihal Patel
                  • December 05, 2019

                    CFTC Provides Guidance on Annual Compliance Report Requirements

                    The CFTC provided guidance for swap dealers, futures commission merchants and major swap participants on annual compliance report requirements.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • December 05, 2019

                    CFTC Adds Foreign Entities to "RED" List

                    The CFTC added 21 non-registered foreign entities to its Registration Deficient List.
                  • December 04, 2019

                    CFTC Adopts Amendments to CPO and CTA Registration and Reporting Requirements

                    The CFTC adopted final rule amendments that incorporate CFTC staff guidance on CPO and CTA registration and reporting requirements.
                    mark.highman@cwt.com's picture
                    Commentary by Mark Highman
                  • December 04, 2019

                    CFTC Chair Heath Tarbert Sets Strategic Priorities for 2019

                    CFTC Chair Heath P. Tarbert described five strategic goals for the agency and outlined related action plans.
                  • December 02, 2019

                    CFTC Creates CCP Risk and Market Structure Subcommittees

                    The CFTC created two subcommittees under the Market Risk Advisory Committee: the (i) Central Counterparty Risk and Governance Subcommittee and (ii) the Market Structure Subcommittee.
                  • November 26, 2019

                    CFTC Division Reports on Annual Enforcement Metrics

                    In a 2019 Annual Report, the CFTC Division of Enforcement reviewed key metrics from the past year, including the number of cases filed and the amount of relief provided.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • November 26, 2019

                    Swap Dealer Penalized for Technology Malfunctions

                    A swap dealer settled CFTC charges for failing to provide certain audio recordings during an investigation.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • Previous
                  • 1
                  • 2
                  • 3
                  • 4
                  • 5
                  • 6
                  • 7
                  • …
                  • Next

                  Request delivery of the Cadwalader Cabinet Newsletter.

                  User menu

                  • Attorney Advertising
                  • Terms of Use
                  • Privacy
                  2008-2019
                  • Main menu
                    • Topics
                      • Broker-Dealers
                        • Overview
                        • FINRA Materials
                        • FINRA: Rule by Rule
                        • Muni Advisors
                        • Muni Securities and Dealers
                        • Muni Securities Documents
                        • MSRB Rules: Rule by Rule
                        • Government Securities Dealers
                        • 100's More Broker-Dealer Topics
                        • Separator for Broker-Dealer
                        • Capital Requirements
                        • Regulation Best Interest
                        • Non-U.S. Broker-Dealer (Rule 15a-6)
                      • Commodity Exchange Act
                        • Overview
                        • CFTC Supervision and CCO
                        • Position Limits
                        • FCMs
                        • FCM / IB Registration Requirement
                        • BD and FCM Risk Assessment Rules
                        • BD and FCM Subordination Agreements
                        • BD and CEA Withdrawals of Capital
                        • FCM Capital
                        • FCMs and Swap Dealer Custody
                        • More CEA Topics
                        • Separator for Commodity
                        • Swaps and Swap Dealers
                        • Margin for Uncleared Swaps
                        • FCMs and Swap Dealer Custody
                        • Swap Dealer and SBSD Capital
                        • CPOs and CTAs
                        • Disclosures
                        • Recordkeeping
                        • Registration Process
                        • Registration Requirement
                        • Reporting on Form PQR, and Form PR
                      • Advisers, Funds and Plans
                        • Overview
                        • ERISA
                        • Investment Advisers Act: By Section and By Rule
                        • Municipal Advisors
                        • IA Regulation
                        • Standard of Conduct and Fiduciary Guidance
                        • Business Continuity
                        • Incentive Compensation
                        • Marketing Materials
                        • Pay to Play
                        • Recordkeeping and Reporting
                        • Registration Requirement
                        • SEA 13(f) Position Reporting
                        • Soft Dollars
                        • Custody Requirements
                        • Separator for Advisers and Funds
                        • Definition of Investment Adviser
                        • Form CRS
                        • More Adviser and Funds Topics
                        • Investment Companies
                        • Overview of Exemptions from Registration under the ICA
                        • Capital Structure, Senior Securities, Liquidity
                        • Custody Requirements
                      • Banking
                        • Overview
                        • FRA 23A and 23B and Reg W
                        • Community Reinvestment Act
                        • Volcker
                        • Truth in Lending
                        • Truth in Savings
                        • Capital Requirements
                        • Enforcement Procedures
                        • Money Service Businesses
                      • Products and Contracts
                        • Cannabis Finance
                        • Commodity Options
                        • Crypto and Initial Coin Offerings
                        • Government Securities and Dealers
                        • LIBOR and Indices
                        • Municipal Securities and Dealers
                        • Securities Lending
                        • Securities Options
                        • Security Futures Products
                        • TBAs and the MSFTA
                        • Separator for Products and Contracts
                        • Asset-Backed Securities
                        • Overview
                        • ABS Qualifying Residential Mortgage and Other Exempt Loans
                        • BD Communications about CMOs
                        • Credit Rating Agencies and Credit Ratings
                        • Credit Risk Retention
                        • Due Diligence Reports
                        • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
                        • LIBOR and Indices
                        • Marketplace Lending
                        • Regulation AB
                        • TBAs and the MSFTA
                      • Credit and Insolvency
                        • Overview
                        • BD Insolvency
                        • FCM Insolvency
                        • Insolvency of Banks
                        • Protected Financial Contracts
                        • Security Interests and UCC
                      • Cybersecurity
                        • Cybersecurity and Data Protection
                      • Enforcement and Bad Acts
                        • Anti-Money Laundering
                        • Disqualifications and Waivers
                        • Foreign Corrupt Practices Act
                        • Insider Trading
                        • SEC and FINRA
                        • Sanctions
                        • Whistleblowers
                      • Investors
                        • Comm. on Foreign Investment in US ("CFIUS")
                        • Hart-Scott-Rodino
                        • SEA 13(f) Position Reporting
                      • Issuers and Offerings
                        • Asset-Backed Securities
                        • Conflict Minerals
                        • Issuer Repurchases Rule 10b-18
                        • Issuer Securities Regulation and Del. Corp. Law
                        • Regulation FD (Fair Disclosure)
                        • Securities Offerings
                        • Corporate Financing Rule
                        • FINRA Private Placement Rules (5122 and 5123)
                      • Regulatory Policy
                        • Dodd-Frank
                        • Policy
                    • Documents
                      • Federal Securities
                        • Statutes
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Trust Indenture Act
                        • Rules
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Securities Act / Securities Exchange Act Regulations
                        • Trust Indenture Act Rules
                        • More Federal Securities Laws, Rules and Other Documents
                        • separator for securities
                        • SEC Administrative Materials
                        • SEC Federal Registers
                        • SEC Enforcement Releases
                        • SEC No-Action Letters
                        • SEC Forms
                        • Securities SROs
                        • FINRA Rules
                        • MSRB Rules
                        • FINRA / MSRB Notices
                        • SRO Federal Registers
                        • SRO Enforcement Releases
                      • Commodity Exchange Act and Energy
                        • CEA and Related Rules
                        • CEA
                        • CFTC Rules
                        • NFA Rules
                        • CEA Judicial Decisions
                        • Supreme Court and Circuit Court Cases
                        • More CEA-Related Documents
                        • Separator for Commodities
                        • CFTC Documents
                        • CFTC Fact Sheets
                        • CEA FAQs
                        • CEA Federal Registers
                        • CFTC Guidance on Cross-Border Futures Transactions
                        • CFTC Guidance on Cross-Border Swaps
                        • CFTC Orders
                        • CFTC No-Action Letters
                        • CEA Speeches, Statements and Testimony
                        • CEA Studies and Reports
                        • NFA Documents
                        • NFA Notices
                        • NFA Regulatory Guidance
                      • Federal Banking
                        • Statutes
                        • Antitying Act
                        • Bank Holding Company Act of 1956
                        • Community Reinvestment Act
                        • Consumer Credit Protection Statutes
                          • Truth in Lending Act
                          • Consumer Leasing Act
                          • Fair Credit Reporting Act
                          • Equal Credit Opportunity Act
                          • Fair Debt Collection Practices Act
                          • Electronic Fund Transfers Act
                        • Federal Deposit Insurance Act
                        • Federal Reserve Act
                        • International Banking Act
                        • National Banking Act
                        • Real Estate Settlement Procedures Act
                        • More Banking Laws, Rules and Other Documents
                        • separator for banking
                        • Rules
                        • Comptroller Rules
                        • FDIC Rules
                        • FRB Rules
                        • Government Securities Act Rules
                        • CFPB Rules
                        • Banking Guidance
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • CFPB Supervisory Highlights
                      • ERISA
                        • Statutes
                        • Employee Retirement Income Security Act
                        • Internal Revenue Code Provisions Related to ERISA
                        • Rules
                        • ERISA Rules
                          • DOL Fiduciary Rule (Final)
                          • DOL Fiduciary Rule (Proposed)
                        • Internal Revenue Regulations Related to ERISA
                        • Separator for ERISA
                        • Other Documents
                        • DOL Federal Registers
                        • DOL FAQs
                        • DOL Glossaries
                        • Pension Benefit Guaranty Corporation Federal Registers
                      • Credit
                        • Bankruptcy Laws
                        • Bankruptcy Code
                        • Federal Deposit Insurance Corporation Improvement Act
                        • SIPA
                        • Securities Investor Protection Act
                        • Securities Investor Protection Corporation Rules
                        • SIPC Letters and Interpretations
                        • SIPC Annual Reports
                        • separator for credit
                        • State Law
                        • New York Statute
                        • Other Documents
                        • Bankruptcy Basics​
                        • Hague Convention
                        • Court Decisions
                        • NYDFS Letters on Bank Insolvency
                      • AML, FCPA and Sanctions
                        • AML
                        • Bank Secrecy Act
                        • Bank Secrecy Act Rules
                        • Federal Crime of Money Laundering
                        • NY Penal Law, Article 470
                        • FinCEN Advisories
                        • FinCEN FAQs
                        • FinCEN Federal Registers
                        • More AML Laws, Rules and Other Documents
                        • separator for AML
                        • FCPA
                        • 15 USC 78dd
                        • 15 USC 78m
                        • FCPA Resource Guide
                        • More FCPA Laws, Rules and Other Documents
                        • Sanctions
                        • Statutes Relevant to Sanctions
                        • Sanctions Rule
                        • OFAC Federal Registers
                        • Executive Orders
                        • More Sanctions Laws, Rules and Other Documents
                      • NASAA and State Law
                        • NASAA
                        • Uniform Securities Act
                        • Uniform Securities Act (1956), As Amended
                        • Model Rules: Advisers
                        • Model Rules: Broker-Dealers
                        • Model Rules: Offerings
                        • Delaware
                        • Delaware General Corporation Law
                        • Separator for state law
                        • New York Statutes
                        • Martin Act
                        • Requirement of Written Agreement
                        • Anti-Money Laundering
                        • New York Rules and Interpretations
                        • Virtual Currencies Regulation
                        • Annuity Regulations
                        • NYDFS Letters on Bank Insolvency
                      • Antitrust and CFIUS
                        • Hart-Scott-Rodino
                        • Act
                        • Rules
                        • HSR Guidance
                        • HSR - Introductory Guide I
                        • HSR - Introductory Guide II
                        • HSR: Back to Basics Workshop Transcript
                          • FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
                          • A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
                        • The Most Frequently Asked HSR Questions
                        • separator for antitrust
                        • CFIUS
                        • Defense Production Act
                        • Rules
                        • Federal Registers
                        • Executive Orders
                      • Statutes, Rules and Public Laws
                        • All Statutes
                        • All Rules
                        • All Public Laws
                        • separator for statutes
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                          • Introduction
                          • What is a Security?
                          • Registration Requirement
                          • How to Register
                          • Employees and APs
                          • Customers
                          • Communications
                          • Research
                          • Trading
                          • Capital Requirements
                          • Custody
                          • ERISA
                          • Insolvency of Broker-Dealers
                          • Internal Investigations
                          • Margin and Credit
                          • Non-U.S. Broker-Dealers
                          • Records, Reports and Inspections
                          • Supervision
                          • Insider Trading
                        • CEA Guide
                          • Introduction to the CEA
                          • What Is a Swap and Other Jurisdictional Questions
                          • What Is a Pool; CPO/CTA Registration Requirement
                          • Application for CPO/CTA Registration
                          • Trading
                          • Margin
                          • Supervision
                          • Non-U.S. Pools
                          • Non-U.S. FCMs and Futures
                          • Insolvency
                          • Appendices
                        • Hedge Fund Guide
                          • Introduction
                          • Documentation
                          • Adviser Registration Requirement
                          • Adviser Registration Process
                          • Issuer Exemptions Under the ICA and Exchange Act
                          • Securities Act and State Registration Exemptions
                          • Broker-Dealer and other Sales Issues
                          • Communications
                          • Trading
                          • Ownership and Custody
                          • Margin and Credit
                          • Records, Reports, and Inspections
                          • Supervision and Code of Ethics
                          • ERISA
                          • Relationships with Banks
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • separator for legal writing
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • White House / President
                        • Elizabeth A. Warren
                        • Executive Orders
                        • Memoranda
                        • Steven T. Mnuchin
                        • News
                        • J. Christopher Giancarlo
                        • Regulatory Guidance
                        • Jerome H. Powell
                        • Statutes
                        • Glossary
                        • Randal Quarles
                        • News
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Speeches, Statements & Testimony
                        • Studies and Reports
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Separator for government
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                    • Events
                    • News
                    • Tools
                      • Glossaries
                      • Interactive Applications
                      • Change Management Tracker
                    • About
                      • About News
                      • About Berkeley
                      • Contributors
                      • Help
                      • Purpose
                    • Sign in
                    • Account