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CFTC Rule 23.201
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Uniswap Labs charged by CFTC for offering digital asset derivatives trading
Two commissioners dissented with the decision, saying the regulator cut corners to create a pretext for enforcement.
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Insider whistleblower awarded over $4m by the CFTC
Fifth such award this year by CFTC takes total paid out to $18.75m.
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Nasdaq settles with CFTC for failing to disclose details of trader perks
CFTC alleges company's failure to disclose certain trader incentives to the CFTC, the public, and its own compliance staff, led to the violation.
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CFTC orders BNY Mellon to pay $5m for swap reporting, supervision lapses
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
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CFTC orders energy trader to pay $48m for attempted market manipulation
The CFTC alleged energy market price manipulation in this case, leading to a $48m fine and a message to other businesses about broker tactics.
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Financial regulatory agencies propose rule to establish data reporting standards
The joint rule would establish uniform data definitions, but questions remain about cost imposed on firms to update systems and records.
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'Widespread recordkeeping failures' – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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Fourth CFTC whistleblower award linked to digital assets investigation
A majority of the whistleblower tips to the Commodity Futures Trading Commission were linked to digital assets last fiscal year.
Further Reading
