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CFTC Enforcement and Regulatory Developments  

Author:  Paul M. Architzel.; Elizabeth L. Mitchell.; Matthew Beville.

Source: Volume 53, Number 14, August 15 2020 , pp.167-174(8)

Review of Securities & Commodities Regulation

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Under new leadership, the CFTC in 2019 has been aggressive in enforcement matters and active in administrative programs, with particular emphasis on rulemaking. In this article, the authors review various enforcement topics, including successes and setbacks in actions against registered entities, spoofing and increased parallel enforcement actions, authority under Rule 180.1, and investigation integrity. On the regulatory side, they focus on changes in internal processes, various topics relating to market structure, and intermediaries. They close with a look forward to subjects for the coming year.

Keywords: Actions against Registered Entities; Foreign Corrupt Practices; Authority under Rule 180.1; Post-Trade Name Give-Up; Intermediaries

Affiliations:  1: WilmerHale; 2: WilmerHale; 3: WilmerHale.

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