CFTC

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  New Hire Roundup: Christian Brothers Appoints Four

  By Marlene Y. Satter, AdvisorOne  |  March 27, 2013

  This week in new hires, Christian Brothers Investment Services announced four key appointments, and American Century welcomed Joseph Schultz.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

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  Senate Banking’s Johnson Asks JPMorgan’s Dimon to Testify

  By Melanie Waddell, AdvisorOne  |  May 17, 2012

  Sen. Tim Johnson, D-S.D., chairman of the Senate Banking Committee, said Thursday that he planned to hold the first hearing regarding the JPMorgan losses on Tuesday, May 22.

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  MF Global’s Corzine Tells Congress: I Don’t Know Where the Money Is

  By James J. Green, AdvisorOne  |  December 8, 2011

  The former CEO of now-bankrupt MF Global says he was ‘stunned' to learn about the missing $1.5 billion in client funds at commodities broker-dealer.

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  In Dodd-Frank Slap, Looser Derivatives Rules Approved by House Panel

  By Marlene Y. Satter, AdvisorOne  |  December 1, 2011

  On Wednesday, the House Financial Services Committee voted to send on three pieces of legislation that are designed to loosen derivatives rules put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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  House Democrats to DOL: Fiduciary Reproposal Should Meet Certain Standards

  By Melanie Waddell, AdvisorOne  |  November 8, 2011

  More than 30 House Democrats sent a letter to Secretary of Labor Hilda Solis that not only thanked her for Phyllis Borzi’s decision to withdraw the DOL’s proposed rule redefining the term fiduciary, but also set out specific areas the new rule should address when it’s reproposed in early 2012.

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  Rep. Garrett Prods CFTC's Gensler on Dodd-Frank Derivatives Rules

  By Melanie Waddell, AdvisorOne  |  June 3, 2011

  Garrett, chair of House Capital Markets subcommittee, asks CFTC chair to reply to extensive list of 12 questions by June 10.

• Forged Comment Letters Surface Ahead of CFTC Hearings

  By John Sullivan, AdvisorOne  |  December 1, 2010

  The U.S. Commodity Futures Trading Commission has referred forged comment letters it received to the Justice Department.

• SEC, CFTC Hear Testimony on New Rules Governing Swaps

  By James J. Green, AdvisorOne  |  September 17, 2010

  AdvisorOne.com's sister publication, FuturesMag.com, reported Thursday on the Securities and Exchange Commision (SEC) and the Commodity Futures Trading Commission's (CFTC) joint roundtable discussion as the two regulators move to start writing rules governing swaps.

• SEC, CFTC to Hold Third Meeting on May 6 Crash

  By Melanie Waddell, AdvisorOne  |  August 10, 2010

  Agenda will focus on role of ETFs in so-called 'flash crash.'