An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
News & Insights
138 News Results
In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.
An entity and its owner settled charges with the CFTC for failure to register as a commodity trading adviser in connection with the provision of trading signals for binary options transactions.
The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.
The CFTC Market Participants Division granted no-action relief to a company that acquires biopharmaceutical royalty interests and enters into foreign exchange derivatives for the purpose of hedging FX risk.