Displaying 9 results
Silver-coin IRA seller settles with CFTC over alleged $68M fraud
Safeguard Metals allegedly steered retirees who cashed out of IRAs toward high-markup silver coins
CFTC crackdown on DeFi firms’ unlawful transactions
Regulator says that firms believe smart contracts allow unregistered trading.
Binance accuses CFTC of overreach, wants charges dropped
World's largest crypto exchange and its founder say the regulator's case is outside its remit and that its case is unsound.
The message is compliance
The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.
SEC charges cryptocurrency app Abra with unregistered swap transactions
The startup allegedly offered security-based swaps to retail investors without registration
Catalyst Capital Advisors to pay $1.3 million in CFTC settlement
The firm also will disgorge almost $9 million over misstatements about its futures fund
Retail derivatives that pay out in bitcoin approved by CFTC
LedgerX won approval to offer bitcoin spot and physically settled derivatives contracts to clients of any size.
CFTC rule requires further scrutiny
A new Commodity Futures Trading Commission rule to harmonize certain CFTC and SEC mandates that apply to mutual funds investing in commodities is drawing criticisms.
ICI, Chamber appeal CFTC mutual fund rule
Agency wants funds using commodities to register with it.
