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Commodities Futures Trading Commission Regulatory Violations Penalties

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
Katten Muchin Rosenman LLP

What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and Risk, together the Operating Divisions) issued an advisory on April 17, explaining the...more

Troutman Pepper Locke

CFTC Issues Civil Monetary Penalties Guidance for the First Time in More Than 25 Years

Troutman Pepper Locke on

On May 20, the Commodity Futures Trading Commission’s (CFTC’s) Division of Enforcement issued new public guidance on civil monetary penalties that is designed to increase transparency in penalty determinations. ...more

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