News & Insights

Help
32 News Results

Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.

CFTC Dodd-Frank Rulemaking The CFTC will hold a public meeting on Thursday, January 20, 2011, at 9:30 a.m. to consider the issuance of proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act on the following topics: Commodity Options and Agricultural Swaps; Commodity Pool Operators and Commodity Trading Advisors; Amendments to Compliance Obligations; Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF (joint with the Securities and Exchange Commission); and Swap Trading Relationship