Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations
The fifth edition of Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations authored by Golden Flag International Law Firm partner, Zachary S. Brez, was published in August 2023 as part of Bloomberg BNA’s Securities Practice Portfolio Series.
This Portfolio describes the role of the Commodity Futures Trading Commission and self-regulatory organizations in regulating and policing the U.S. commodities, futures, and swaps markets. In the wake of recent financial scandals and economic upheaval, the CFTC has begun a transformation from “toothless regulator” to formidable counterpart to the Securities and Exchange Commission.
Topics covered include:
- a history and overview of the U.S. commodity futures markets and their regulation;
- the CFTC’s and SROs’ investigative and enforcement processes, while highlighting potential pitfalls and emphasizing best practices;
- the CFTC’s structure and enforcement mechanisms, as well as those of the SROs under the CFTC’s purview; and
- a detailed analysis of recent enforcement trends and high-profile CFTC cases.
