The Dodd-Frank Wall Street Reform Act strengthened the jurisdiction and enforcement capabilities of the CFTC in a number of respects. Once key provision concerned Retail Commodity Contracts, under CEA Section 2(c)((2)(D). It provides that the CFTC shall have jurisdiction over …
Tag: fraud
Jury Rejects SEC Market Crisis Fraud Claims Against Bank, CEO
Last week the SEC prevailed on a partial motion for summary judgment, obtaining a ruling that certain individuals involved in an offering fraud acted as unregistered broker dealers. This week, the Commission lost a long running battle in court when …
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