CFTC - U.S. Commodity Futures Trading Commission

09/26/2023

Today the CFTC announced that it charged a Florida man with forex and binary options fraud and misappropriation. Learn more:

Release Number 8786-23 CFTC Charges Florida Man with Forex and Binary Options Fraud and Misappropriation September 26, 2023 Washington, D.C. — The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Middle District of Florida against Patri...

09/26/2023

POSTPONED: October 5, 2023 Meeting of the Global Markets Advisory Committee:

Release Number 8785-23 POSTPONED: October 5, 2023 Meeting of the Global Markets Advisory Committee September 26, 2023 Washington, D.C. — The meeting of the Commodity Futures Trading Commission’s Global Markets Advisory Committee (GMAC) scheduled for Thursday, October 5, 2023 from 1:00 p.m. to 5:...

09/26/2023

Statement of Commissioner Kristin N. Johnson Regarding CFTC Bringing Charges Against Damien Moran, Bright Future Financial LLC (d/b/a Oakhurst Metals), and Crown Bullion, Inc. for Precious Metals Fraud:

Statement of Commissioner Kristin N. Johnson Regarding CFTC Bringing Charges Against Damien Moran, Bright Future Financial LLC (d/b/a Oakhurst Metals), and Crown Bullion, Inc. for Precious Metals Fraud September 26, 2023 Today the Commodity Futures Trading Commission (CFTC) announced the filing of a...

09/26/2023

Today the CFTC announced that it charged Dallas and Los Angeles area precious metals dealers in ongoing fraud scheme garnering more than $7M from retirement accounts. Learn more:

Release Number 8784-23 CFTC Charges Dallas and Los Angeles Area Precious Metals Dealers in Ongoing Fraud Scheme Garnering Over $7 Million from Retirement Accounts Court Issues Restraining Order to Protect Assets and Documents September 26, 2023 Washington, D.C. — The Commodity Futures Trading Comm...

09/26/2023

EVENT: Commissioner Pham will speak at the FIA Expo 2023. Learn more:

Event: Other Events Commissioner Pham to Speak at FIA Expo 2023 October 02, 2023 WHAT: Commissioner Caroline D. Pham will participate on a panel titled “Tokenization and Its Role in Accelerating Collateral Management” at FIA Expo 2023. WHEN: Monday, October 2, 2023 1:50 p.m. – 2:35 p.m. (CDT) ...

09/25/2023

EVENT: Commissioner Johnson to Provide Opening Remarks at the CFTC’s Technology and Fraud: Stopping Scams in a Digital World Virtual Event.

Event: Commission Meetings Commissioner Johnson to Provide Opening Remarks at the CFTC’s Technology and Fraud: Stopping Scams in a Digital World Virtual Event October 04, 2023 WHAT: Commissioner Kristin N. Johnson will provide opening remarks at a CFTC Office of Customer Education and Outreach and...

09/25/2023

EVENT: Commissioner Johnson to Deliver the Manuel F. Cohen Memorial Lecture at the George Washington University Law School.

Event: Other Events Commissioner Johnson to Deliver the Manuel F. Cohen Memorial Lecture at the George Washington University Law School October 12, 2023 WHAT: Commissioner Kristin N. Johnson will deliver the Manuel F. Cohen Memorial Lecture on Artificial Intelligence and the Future of Finance at the...

09/25/2023

EVENT: Commissioner Johnson to Provide a Keynote Address at the Baker Institute Annual Energy Summit:

Event: Other Events Commissioner Johnson to Provide a Keynote Address at the Baker Institute Annual Energy Summit October 05, 2023 WHAT: Commissioner Kristin N. Johnson will provide a keynote speech on Emerging Carbon Markets at the Baker Institute Annual Energy Summit. WHEN: Thursday, October 5, 20...

09/25/2023

EVENT: Commissioner Johnson to Participate in a Fireside Chat at the Fordham Law Blockchain Regulatory Symposium:

Event: Other Events Commissioner Johnson to Participate in a Fireside Chat at the Fordham Law Blockchain Regulatory Symposium October 02, 2023 WHAT: Commissioner Kristin N. Johnson will participate in a fireside chat with former CFTC Chair J. Christopher Giancarlo at the Fordham Law Blockchain Regul...

09/25/2023

Today the CFTC announced a technology and fraud virtual event to explore social media investment fraud and AI. Learn more:

Release Number 8783-23 CFTC Announces Technology and Fraud Virtual Event to Explore Social Media Investment Fraud and AI September 25, 2023 Washington, D.C. — The Commodity Futures Trading Commission’s Office of Customer Education and Outreach (OCEO) and Office of Technology Innovation (OTI) tod...

09/22/2023

Statement of Commissioner Caroline D. Pham Regarding Political Event Contracts:

Statement of Commissioner Caroline D. Pham Regarding Political Event Contracts September 22, 2023 Consistent with my earlier vote to abstain in May 2023, I abstain from voting on this order because I continue to believe that the United States Court of Appeals for the Fifth Circuit’s Order in Clark...

09/22/2023

Statement of Commissioner Summer K. Mersinger Regarding Extension of Staff No-Action Position Regarding Ownership and Control Reports:

Statement of Commissioner Summer K. Mersinger Regarding Extension of Staff No-Action Position Regarding Ownership and Control Reports September 22, 2023 I support extension of the staff no-action relief in Letter No. 20-30 from certain reporting obligations under the Commission’s Ownership and Con...

09/22/2023

The CFTC staff extended a no-action position for certain reporting obligations under the ownership and control reports final rule. Learn more:

Release Number 8782-23 CFTC Staff Extends No-Action Position for Certain Reporting Obligations Under the Ownership and Control Reports Final Rule September 22, 2023 Washington, D.C. — The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today issued a no-action letter th...

09/22/2023

Today the CFTC announced that it ordered a California resident to pay $300,000 for a fictitious sales scheme. Learn more:

Release Number 8781-23 CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme September 22, 2023 Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Jie “Elaine” Yu of Irvine, California, fo...

09/22/2023

Dissenting statement of Commissioner Summer K. Mersinger regarding the CFTC's order on certified derivatives contracts with respect to political control of the U.S. Senate and House of Representatives. Read more:

Dissenting Statement of Commissioner Summer K. Mersinger Regarding Order on Certified Derivatives Contracts with Respect to Political Control of the U.S. Senate and House of Representatives September 22, 2023 I respectfully dissent from the Order Prohibiting Listing for Trading of Certified Derivati...

09/22/2023

Statement of Chairman Rostin Behnam regarding the CFTC's order to prohibit Kalshi political control derivatives contracts. Read it here:

Statement of Chairman Rostin Behnam Regarding CFTC Order to Prohibit Kalshi Political Control Derivatives Contracts September 22, 2023 Today’s Order prohibits listing or otherwise making available for clearing or trading certain Congressional Control Contracts on or through KalshiEx LLC (“Kalshi...

09/22/2023

Today the CFTC announced it disapproved KalshiEX LLC’s congressional control contracts. Learn more:

Release Number 8780-23 CFTC Disapproves KalshiEX LLC’s Congressional Control Contracts September 22, 2023 Washington, D.C. — The Commodity Futures Trading Commission today issued an order disapproving congressional control political event contracts self-certified by KalshiEX LLC. The contracts w...

09/21/2023

Keynote Address of Commissioner Kristin N. Johnson at the World Federation of Exchanges Annual Meeting:

Keynote Address of Commissioner Kristin N. Johnson at the World Federation of Exchanges Annual Meeting Creating Rules of the Road for (Dis)Intermediated and (De)Centralized Markets September 21, 2023 Good morning, thank you very much Nandini Sukumar for the kind invitation to join you today at the W...

09/21/2023

EVENT: Commissioner Goldsmith Romero will participate on a panel at The Economist’s Sustainability Week: Countdown to COP28.

Event: Other Events Commissioner Goldsmith Romero to Participate on Panel at The Economist’s Sustainability Week: Countdown to COP28 October 04, 2023 WHAT: Commissioner Goldsmith Romero will participate on the virtual panel, Carbon credits—questioning the quality today, the potential tomorrow at...

09/20/2023

The CFTC ordered Chicago-based Advantage Futures LLC to pay $395,000 for supervision failures. Learn more:

Release Number 8779-23 CFTC Orders Chicago-based Advantage Futures LLC to Pay $395,000 for Supervision Failures September 20, 2023 Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Advantage Futures LLC, a registere...

09/20/2023

The CFTC ordered StoneX Markets LLC to pay $650,000 for violations of swap-related Business Conduct Standards. Learn more:

Release Number 8778-23 CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards Swap Dealer Admits It Failed to Disclose Pre-Trade Mid-Market Marks and Failed to Diligently Supervise its Compliance Process September 20, 2023 Washington, D.C. — The Commodity ...

09/20/2023

EVENT: Commissioner Goldsmith Romero will participate in a fireside chat at ISDA’s Derivatives Trading Forum. Learn more: https://www.cftc.gov/PressRoom/Events/opaeventromero092723?fbclid=IwAR1m2l9KB6WNE2TCmaZ6cvdDWsE3Wl4ACPAI-LRNDz4FqSmSP2EdUciYMYc

09/19/2023

EVENT: Commissioner Caroline D. Pham will participate in a keynote fireside chat on “The Path to Resilient Treasury Markets” at the ISDA/SIFMA AMG Derivatives Trading Forum New York:

Event: Other Events Commissioner Pham to Keynote at the ISDA/SIFMA AMG Derivatives Trading Forum New York September 21, 2023 WHAT: Commissioner Caroline D. Pham will participate in a keynote fireside chat on “The Path to Resilient Treasury Markets” at the ISDA/SIFMA AMG Derivatives Trading Forum...

09/19/2023

Today the CFTC announced that it granted two whistleblower awards totaling more than $15M. Learn more:

Release Number 8777-23 CFTC Grants Two Whistleblower Awards Totaling Over $15 Million September 19, 2023 Washington, D.C. — The Commodity Futures Trading Commission today announced whistleblower awards totaling over $15 million to two whistleblowers who provided significant information and assista...

09/19/2023

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09/15/2023

EVENT: Chairman Rostin Behnam will speak at IETA’s North America Climate Summit – NACS 2023. Learn more:

Event: Other Events Chairman Behnam to Speak at IETA’s North America Climate Summit – NACS 2023 September 19, 2023 WHAT: Chairman Rostin Behnam will speak at IETA’s North America Climate Summit – NACS 2023. WHEN: Tuesday, September 19, 2023 10:00 a.m. – 10:30 a.m. WHERE: The Westin New Yor...

09/15/2023

Today marks the beginning of (Sept 15-Oct 15). We commemorate the incredible contributions the Hispanic community has made to this nation and the globe.

09/13/2023

EVENT: Chairman Rostin Behnam will speak at Flowcarbon’s Carbon Smart Summit. Learn more:

Event: Other Events Chairman Behnam to Speak at Flowcarbon’s Carbon Smart Summit September 19, 2023 WHAT: Chairman Rostin Behnam will speak at Flowcarbon’s Carbon Smart Summit. WHEN: Tuesday, September 19, 2023 2:30 p.m. – 3:00 p.m. (EDT) WHERE: Kimpton Hotel Eventi 851 6th Avenue New York, NY...

09/13/2023

EVENT: Commissioner Mersinger will participate in a fireside chat at WFE’s Annual Meeting in Bermuda:

Event: Other Events Commissioner Mersinger to Participate in a Fireside Chat at WFE’s Annual General Meeting in Bermuda September 20, 2023 WHAT: Commissioner Summer K. Mersinger will participate in a fireside chat at WFE’s Annual General Meeting. WHEN: Wednesday, September 20, 2023 14:00 p.m. .....

09/13/2023

ICYMI: PLI White Collar Crime 2023 Keynote Speech of Enforcement Director Ian McGinley, “Enforcement by Enforcement: The CFTC’s Actions in the Derivatives Markets for Digital Assets”:

PLI White Collar Crime 2023 Keynote Speech of Enforcement Director Ian McGinley: “Enforcement by Enforcement: The CFTC’s Actions in the Derivatives Markets for Digital Assets” September 11, 2023 Thank you for that kind introduction. As is customary, I’ll start with the standard disclaimer: T...

09/13/2023

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09/13/2023

Today the CFTC’s Division of Clearing and Risk announced that it extended a no-action letter for the Taiwan Futures Exchange. Learn more:

Release Number 8776-23 CFTC’s Division of Clearing and Risk Issues Extension of No-Action Letter for Taiwan Futures Exchange September 13, 2023 Washington, D.C. — The Commodity Futures Trading Commission’s Division of Clearing and Risk today issued a no-action letter providing that DCR will no...

09/11/2023

Opening Remarks by CFTC Commissioner Christy Goldsmith Romero on Modernizing Investor Protection for the Digital Age:

Modernizing Investor Protection for the Digital Age: Opening Remarks of CFTC Commissioner Christy Goldsmith Romero The North American Securities Administrators Association’s Annual Meeting in San Diego, California September 11, 2023 Remarks Prepared for Delivery Standard Disclaimer Thank you to NA...

09/11/2023

Public comment is due next Mon, September 18 regarding: Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants. Submit your comments today:

Public Comment Period for KalshiEX Congressional Control Contracts The CFTC seeks public comment on questions related to contracts self-certified by KalshiEX LLC, a designated contract market, on which political party will be in control of each chamber of the U.S. Congress. 

09/11/2023

We will forever remember those we lost on and honor the heroes who demonstrated great courage that day.

09/08/2023

EVENT: Commissioner Christy Goldsmith Romero will provide opening remarks on Modernizing Investor Protection for the Digital Age at the North American Securities Administrators Association’s (NASAA) 2023 Fall Annual Meeting. Learn more:

Event: Other Events Commissioner Goldsmith Romero to Provide Opening Remarks at the North American Securities Administrators Association’s 2023 Fall Annual Meeting September 11, 2023 WHAT: Commissioner Christy Goldsmith Romero to be provide opening remarks on Modernizing Investor Protection for th...

09/08/2023

ICYMI: Statement of Commissioner Kristin N. Johnson Regarding CFTC Resolving Charges Against Three Decentralized Finance Companies: The Need for Oversight:

Statement of Commissioner Kristin N. Johnson Regarding CFTC Resolving Charges Against Three Decentralized Finance Companies: The Need for Oversight September 07, 2023 Yesterday, the Commodity Futures Trading Commission (CFTC) announced the entry of charges against operators of three decentralized fi...

09/08/2023

EVENT: Commissioner Johnson to Provide a Keynote Address and Participate in a Panel at the World Federation of Exchanges Annual Meeting. Learn more:

Event: Other Events Commissioner Johnson to Provide a Keynote Address and Participate on Panel at the World Federation of Exchanges Annual Meeting September 21, 2023 WHAT: Commissioner Kristin N. Johnson will deliver a keynote address and participate in the Optimal Market Design for Digital Assets s...

09/08/2023

EVENT: Commissioner Johnson to Participate on a DeFi Panel at the EuroFi Financial Forum. Learn more:

Event: Other Events Commissioner Johnson to Participate on a DeFi Panel at the EuroFi Financial Forum September 13, 2023 WHAT: Commissioner Kristin N. Johnson will participate in the DeFi Opportunities, Challenges, and Policy Implications session at the EuroFi: Financial Forum in Santiago de Compost...

09/08/2023

Statement of Commissioner Christy Goldsmith Romero: Arming Crypto Customers with Free Tools to Protect Themselves from Becoming a Victim:

Statement of Commissioner Christy Goldsmith Romero: Arming Crypto Customers with Free Tools to Protect Themselves from Becoming a Victim Statement in Support of CFTC v. Jacob Orvidas September 08, 2023 At the CFTC, we protect you the customer by bringing actions to enforce the law, but we cannot cat...