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SEC and CFTC Amend Form PF … Again: Private Fund Advisers Should “Kick the Tires” Before Next Race...
JD Supra· 15 hours agoIn February 2024, the SEC and the Commodity Futures Trading Commission (CFTC) adopted major amendments to Form PF ...
A Good Fit for Crypto? The House Passes FIT21 | JD Supra
JD Supra· 15 hours agoFIT21 would make sweeping changes to the regulation of crypto assets, markets, and market participants. It would allocate jurisdiction over such assets, venues and entities between the Securities ...
JPMorgan to Pay $100M Penalty for Trade Reporting Lapses - Citigroup (NYSE:C), Goldman Sachs Gr...
Benzinga· 5 days agoJPMorgan JPM is expected to pay $100 million to the U.S. Commodity Futures Trading Commission ("CFTC...
JPMorgan poised to pay $100 million over CFTC trade reporting violations, source says By Reuters
Investing.com· 6 days agoNEW YORK (Reuters) -The U.S. Commodity Futures Trading Commission is expected as soon as Wednesday to announce a $100 million settlement ...
J.P. Morgan Securities to pay $200 million to settle CFTC charges of supervision failures
Market Watch· 5 days agoThe Commodity Futures Trading Commission on Thursday said it simultaneously filed and settled charges against J.P. Morgan Securities LLC.
CFTC fines J.P. Morgan Securities $200 million over order surveillance gaps
Pensions & Investments· 4 days agoJ.P. Morgan admitted to the facts in the CFTC order regarding surveillance data gaps and causes of surveillance data gaps, but otherwise neither admitted to nor denied...
JPMorgan to pay $100M for client order monitoring fails: CFTC
InvestmentNews· 4 days agoThe CFTC said Thursday the bank would pay $100 million to settle a multiyear probe into JPMorgan’s ...
US Regulator to Issue Carbon-Credits Rulebook Within Months
Insurance Journal· 7 days agoThe US Commodity Futures Trading Commission expects to finalize its guidance for carbon credits...
...Enforcement Director Ian McGinley at the City Bar White Collar Institute: “Trends in the CFTC’s...
CFTC.gov· 5 days agoAs is customary, I’ll start with the standard disclaimer: These comments are my own and do not...
CFTC, J.P. Morgan Securities Settle Charges of Supervision Failures
Morningstar· 5 days agoBy Stephen Nakrosis The Commodity Futures Trading Commission on Thursday said it simultaneously filed and settled charges against J.P ...