Sec a cftc

11/1/2019

The two agencies were created by separate legislation, and have separate governing commissions, powers and approaches to their respective markets. 10/22/2020 The Dodd-Frank Act established important incentives and protections for whistleblowers who provide information to the U.S. Securities and Exchange Commission (“SEC”) regarding violations of securities laws and the U.S. Commodity Futures Trading Commission (“CFTC”) regarding violations of commodities laws. 1/24/2021 The joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues was established in 2010 by the CFTC and SEC to develop recommendations on emerging and ongoing issues relating to both agencies. The formation of the joint advisory committee was one of the 20 recommendations included in the agencies' harmonization report issued in 2009. 10/23/2020 The Commodity Exchange Act requires certain firms and individuals to be registered with the CFTC. Registration and examination of firms and individuals is conducted on behalf of the CFTC by the National Futures Association (NFA) under the supervision of the CFTC.

16.12.2020

The SEC and the CFTC anticipate that the proposed rules will have a compliance date of December 15, 2011. Large private fund advisers would need to make their initial Form PF filing by January 15, 2012, while smaller private fund advisers with a December 31 fiscal year-end would need to file their first Form PF by March 31, 2012. 2/3/2021 5/26/2016 2/8/2018 8/28/2020 Thurs: Yellen will convene meet w/SEC, Fed, FedNY, CFTC to discuss volatility Thursday will see U.S. Treasury Sec Yellen convene a meeting with the heads of the Securities and Exchange Commission, Federal Reserve Board, Federal Reserve Bank of New York, and Commodity Futures Trading Commission to discuss recent volatility in financial markets # Blog: Former CFTC Chair Gary Gensler expected to be nominated as SEC Chair | Cooley LLP - JDSupra 1/14/21, 9:41 PM https://www.jdsupra.com/legalnews/blog-former-cftc 11/1/2019 The SEC and CFTC share jurisdiction over mixed swaps. In view of the inclusion of swaps, the universe of what is a commodity interest has expanded significantly. Therefore a CPO that would like to claim exemption pursuant to rule 4.13(a)(3) needs to consider this expanded definition of commodity interests. Like the SEC whistleblower law, it was passed as part of the Dodd-Frank Act. To qualify a whistleblower must provide original information to the CFTC regarding a violation of any of the commodity exchange laws enforced by the CFTC. The reward cannot be lower than 10% of the sanctions obtained by the CFTC, or higher than 30%.

dating the SEC and the CFTC into a single regulatory agency with juris- diction over all aspects of the futures and securities industries. 1 2. This Comment will

More Bitcoin and digital asset-friendly appointments are likely to be made in 2021. CFTC-SEC Joint Advisory Committee (Inactive) The joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues was established in 2010 by the CFTC and SEC to develop recommendations on emerging and ongoing issues relating to both agencies. The Commodity Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates the U.S. derivatives markets, which includes futures, swaps, and certain kinds of options.

The Dodd-Frank Act established important incentives and protections for whistleblowers who provide information to the U.S. Securities and Exchange Commission (“SEC”) regarding violations of securities laws and the U.S. Commodity Futures Trading Commission (“CFTC”) regarding violations of commodities laws.

March 17, 2020 As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep you informed. These updates detailed below cover the SEC (Form ADV, Custody, Form CRS, comment letters) and the CFTC/NFA (rep A U.S. judge has asked lawyers from the Commodity Futures Trading Commission (CFTC) to provide an opinion in the case brought by the Securities and Exchange Commission (SEC) against Telegram's $1 Oct 11, 2018 · The SEC and CFTC staff are aware of fraudsters making false claims about SEC or CFTC actions and endorsements related to digital assets. Examples of these false claims may include: Having advance knowledge of future agency actions to approve new financial products that derive their value from digital assets.

1 Min Read. Abra, a California-based 10 Oct 2018 In harmonizing mandates between the SEC and CFTC, regulators would have greater access to the information they need, providing a more Both the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have come to the forefront of virtual currency 4 Sep 2019 The SEC and CFTC both considered OCC's cooperation and remediation efforts in reaching their settlement with the company. The SEC noted 9 Apr 2019 The CFTC is an independent U.S. federal agency established by the markets, technology, and cooperation between the CFTC and SEC. 30 Jul 2012 The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) recently adopted a joint rule that 7 May 2018 SEC, CFTC to decide whether Ethereum, other cryptocurrencies are (SEC) and the Commodity Futures Trading Commission (CFTC) are set 6 Oct 2017 While the SEC regulates equities markets and the CFTC covers commodities and derivatives trades, the two agencies have often struggled to 16 May 2019 Since the so-called “Flash Crash” of May 6, 2010, the SEC and CFTC have made a concerted effort to harmonize their regulatory and 1 Apr 1984 Regulatory Structure in Futures Markets: Jurisdictional Competition Among the SEC, the CFTC, and Other Agencies.

In some cases, their identities may remain unknown even to the SEC and the CFTC until the time comes for the payment of a reward. This is the strongest confidentially provision available in any of the federal whistleblower programs, including “ qui tam ” cases under the False Claims Act and the Internal Revenue Service (“IRS Jan 12, 2021 · Biden poised to pick ex-CFTC chief Gary Gensler to lead SEC By Saleha Mohsin , Jennifer Epstein , Robert Schmidt and Ben Bain Bloomberg, Updated January 12, 2021, 6:09 p.m. Email to a Friend Commodity Futures Trading Commission (CFTC) The Commodity Exchange Act requires certain firms and individuals to be registered with the CFTC. Registration and examination of firms and individuals is conducted on behalf of the CFTC by the National Futures Association (NFA) under the supervision of the CFTC. Apr 09, 2019 · The Commodity Futures Trading Commission (CFTC) is an independent U.S. federal agency established by the Commodity Futures Trading Commission Act of 1974. The Commodity Futures Trading Commission Jan 24, 2021 · The CFTC appointment will represent a positive move for cryptocurrencies. But the SEC appointment at this point shows no positive or negative impact on current cases.

The 16, 2011. The SEC granted temporary relief, and the CFTC proposed to grant temporary relief, to market participants from the majority of these requirements. In doing so, the CFTC and SEC provided swap and SBS market participants with much-needed certainty. The CFTC’s proposal is subject to a 14-day public comment period. SEC & CFTC Await New Chairpersons Jay Clayton The Trump administration has named an acting chairman for the SEC — Elad L. Roisman, an SEC commissioner — as the now-former Chairman Walter Joseph “Jay” Clayton III stepped down at the end of December, six months before his slated exit in … 10/10/2018 1/13/2021 6/25/2019 The incoming heads of the SEC, the CFTC, and the Treasury have a deep understanding of cryptocurrency and fintech issues. finance.yahoo.com. President Biden's financial team will clarify Bitcoin and cryptocurrency regulations.

Gary teaches a course on blockchain and cryptocurrencies titled Blockchain and Money at MIT. Apr 06, 2018 · The SEC and U.S. Commodity Futures Trading Commission (CFTC) have been actively policing the crypto or virtual currency space. Both regulators have filed multiple enforcement actions against companies and individuals for improper activities including fraud. (11) Any natural person who is a “knowledgeable employee,” as defined in rule 3c-5(a)(4) under the Investment Company Act of 1940 (17 CFR 270.3c-5(a)(4)), of the issuer of the securities being offered or sold where the issuer would be an investment company, as defined in section 3 of such act, but for the exclusion provided by either section 3(c)(1) or section 3(c)(7) of such act; The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) recently adopted a joint rule that defines which financial instruments will be considered "swaps" under the jurisdiction of the CFTC, which instruments will be considered "security-based swaps" under the jurisdiction of the SEC, and which instruments are "mixed swaps" subject to the jurisdiction of both agencies. In some cases, their identities may remain unknown even to the SEC and the CFTC until the time comes for the payment of a reward. This is the strongest confidentially provision available in any of the federal whistleblower programs, including “ qui tam ” cases under the False Claims Act and the Internal Revenue Service (“IRS Jan 12, 2021 · Biden poised to pick ex-CFTC chief Gary Gensler to lead SEC By Saleha Mohsin , Jennifer Epstein , Robert Schmidt and Ben Bain Bloomberg, Updated January 12, 2021, 6:09 p.m. Email to a Friend Commodity Futures Trading Commission (CFTC) The Commodity Exchange Act requires certain firms and individuals to be registered with the CFTC.

The CFTC appointment will represent a positive move for cryptocurrencies. But the SEC appointment at this point shows no positive or negative impact on current cases. The changes across the board make for an exciting time within the industry. More Bitcoin and digital asset-friendly appointments are likely to be made in 2021.

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8/28/2020

SEC and CFTC Enforcement Update May 2020 In this edition of the newsletter, we discuss enforcement developments at the agencies during May 2020.