A financial communications company settled CFTC charges for operating an unregistered swap execution facility.
News & Insights
12 News Results
A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
The National Futures Association revised the procedure followed by major swap participants and swap dealers when submitting documentation of their ability to comply with certain CFTC Regulations.
The CFTC granted swap execution facility registration status to a New York-based bitcoin exchange.
The CFTC issued an order granting full registration status to a London-based swap execution facility. A total of twenty-four SEFs are now registered fully with the CFTC.