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December 15, 2022
The Obama Administration is aggressively exploiting regulation to achieve its policy agenda, issuing 157 new major rules at a cost to Americans approaching $73 billion annually.
December 6, 2022
Washington, D.C. — The Commodity Futures Trading Commission today announced it has issued an Order of Registration to SpectrAxe LLC (SpectrAxe) granting it registration as a swap execution facility (SEF). SpectrAxe is a Delaware limited liability company headquartered in New York, N.Y.
November 15, 2022
Updates in the financial world this month include SEC advertising rules, NYC Wage Transparency Law Compliance, SEC Electronic Recordkeeping Rule, SEC Proposes New Rule Governing Outsourcing by Investment Advisers, and Rules for Reporting and Advertising by Investment Companies.
November 8, 2022
Leading centralised cryptocurrency exchange FTX Exchange is known for its expertise in derivatives and leveraged products
October 27, 2022
Washington, D.C. — The Commodity Futures Trading Commission today announced that it has unanimously approved an amended order that exempts two multilateral trading facilities (MTFs) and two organised trading facilities authorized within the European Union (EU) from CFTC swap execution facility (SEF) registration requirements.
October 27, 2022
Washington, D.C. — The Commodity Futures Trading Commission today announced it has unanimously approved an amended order that exempts three Recognized Market Operators (RMOs) authorized within Singapore from CFTC swap execution facility (SEF) registration requirements. The exempted RMOs areTradebook Singapore Pte Ltd, SGX FX Markets Pte.
October 1, 2022
Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against BGC Derivative Markets, L.P.
September 30, 2022
Commodity Futures Trading Commission announced settlement of administrative action against Asset Risk Management in amount of $200,000. CFTC found that ARM operated an unregistered swap execution facility SEF for a period of 5 years, from September 2017 to the present.
September 29, 2022
Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against tpSEF, Inc ., a registered swap execution facility (SEF), for failing to comply with the CFTC 15-second delay requirement for certain required transactions on a SEF order book.
September 9, 2022
GlobalCapital is pleased to reveal the winners of its 2022 Americas Derivatives Awards