Federal Administrative Decisions and Resources: CFTC

From the Federal Register.

Available beginning with 2012.

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts. Available beginning with 1995.

Dispositions in cases brought in the CFTC's Reparations program and in administrative enforcement cases brought by the CFTC Division of Enforcement. Dispositions may include initial decisions, orders, and other rulings. Available beginning with 2012.

Written statement by the staff of a Division of the Commission or its Office of the General Counsel that such staff will not recommend that the Commission commence enforcement action for failure to comply with a specific provision of the Act or Commission regulations. It binds only the staff of the Division that issued it with respect to the specific fact situation and persons addressed by the letter, and third parties may not rely upon it. Available beginning with 1975.

Written grant by the staff of a Division of the Commission or its Office of the General Counsel, pursuant to delegated authority, of exemption from a specific provision of the Commodity Exchange Act (the "Act") or Commission regulations. It binds the Commission and its staff with respect to the specific fact situation and persons addressed by the letter; third parties may not rely upon it. Available beginning with 1975.

Written advice or guidance by the staff of a Division of the Commission or its Office of the General Counsel. It binds only the staff of the Division that issued it (or the Office of the General Counsel, as the case may be), and third-parties may rely upon it as the interpretation of that staff. Available beginning with 1975.