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Insider Trading: The CFTC Aggressively Pursues Its New Enforcement Authority Under the Dodd-Frank Act  


Author:  Craig Enochs.; Peter Y. Malyshev.; Paul Turner.; Michael Yuffee.


Source: Volume 29, Number 05, May/June 2016 , pp.21-30(10)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

The authors consider the expanded enforcement authority provided to the CFTC by the Dodd-Frank Act in 2010, comparing it to the CFTC’s pre-Dodd-Frank authority and to the similar authority historically enjoyed by the SEC. They examine the first instance of the CFTC’s exercise of its expanded powers, in the Motazedi case, and analyze how the CFTC’s enforcement activities are likely to change going forward.

Keywords: Dodd-Frank Act; commodities; anti-fraud rule; misappropriation theory; insider trading; Motazedi case; CFTC Rule 180.1

Affiliations:  1: Reed Smith; 2: Reed Smith; 3: Reed Smith; 4: Reed Smith.

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