On March 21, 2019, in Whitaker v. Wedbush Securities, an Illinois appellate court for the first time addressed the liability of a futures commission merchant (FCM) or broker-dealer (BD)
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Jeffry Henderson
CFTC and NFA Commodities Regulatory Update
By Douglas E. Arend & Jeffry M. Henderson on
Departing from its historical practice but following the approach taken by the SEC and FINRA, the Commodity Futures Trading Commission (CFTC) on Feb. 12, 2019, announced its first release of …
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Details on the CFTC’s New Self-Reporting Policy
By Jeffry M. Henderson & William Mack on
On Sept. 25, 2017, the Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance and Finance at New York University School of Law hosted a policy speech
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Continue Reading Details on the CFTC’s New Self-Reporting Policy