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"The Risk Desk" editor John R. Sodergreen described the debate between CFTC Chair Timothy Massad and Commissioner Chris Giancarlo over an amendment to proposed Regulation Automated Trading that would allow the CFTC access to an algorithmic firm's trading source code without first issuing a subpoena.

Thomas v. Met. Life Ins. Co. (10th Cir. Feb. 2, 2011) February 2, 2011 The Tenth Circuit Court of Appeals issued a decision determining whether a "financial services" representative employed by a broker-dealer was acting as an unregistered investment adviser or if the representative fit under the broker-dealer exception to the definition of investment adviser for advice that is "solely incidental" to services as a broker or dealer and done without receipt of "special compensation." The court analyzed the legislative history and SEC interpretations of section 202(a)(11) of the Advisers Act, and

In a wide ranging interview with Risk Desk Editor-in-Chief John Sodergreen, Acting CFTC Chair J. Christopher Giancarlo expressed his views "on market growth, killing bad policy and rules, staffing the agency, fintech, matters of market jurisdiction and his relationship with FERC."