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SEC & CFTC Want to Ease PF Disclosure Obligations

April 22, 2026 by Eugene Grygo

SEC & CFTC Want to Ease PF Disclosure Obligations

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) are proposing Form PF amendments that they say will ease the reporting burdens for private funds. Form PF is “the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Data Management, FX Operations, Hedge Fund Operations, Private Equity, Operational Risk, Private Markets, Governance, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, CFTC, compliance, data management, Form PF, hedge funds, operational risk, private credit, private credit data, private debt markets, private equity, private funds, Private Markets, SEC, wall street

CFTC & MLB Sign MOU About Prediction Markets

March 25, 2026 by FTF News

CFTC & MLB Sign MOU About Prediction Markets

The Commodity Futures Trading Commission (CFTC) and the professional baseball league, Major League Baseball, have signed a first-of-its-kind memorandum of understanding (MOU), as politicians and market participants sort out the parameters of controversial prediction markets. A relatively recent phenomenon, prediction markets consist of exchange-traded platforms that enable participants to buy and sell contracts that try… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Derivatives Processing, Securities Operations, Back Office, Buy-Side, Diversity & Human Interest, General Interest, Governance, Data Science, Digital Transformation, FinTech Trends, Integration, Standards Tagged With: CFTC, compliance, derivatives, MLB, predictions markets, Standards, wall street

SEC & CFTC Vow to End Regulatory Turf Wars

March 18, 2026 by Eugene Grygo

SEC & CFTC Vow to End Regulatory Turf Wars

A while back, I wrote about Timothy G. Massad, a former CFTC chairman, who asked via an op-ed piece for the Brookings Institution if it was time to merge the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). It looks as if the two regulators have answered that question by promising… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Sell-Side, Settlement, T+1 Settlement, Financial Inclusion, Whistleblower News, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: CFTC, CFTC Division of Enforcement, CFTC Regulations, derivatives industry, Memorandum of Understanding (MOU), Securities Operations, securities trading, Standards, US Securities and Exchange Commission, wall street

Caroline Pham’s Legacy at the CFTC

January 6, 2026 by Eugene Grygo

Caroline Pham’s Legacy at the CFTC

Caroline D. Pham, the acting chairman for the Commodity Futures Trading Commission (CFTC) for most of 2025, stepped down from her post last month to make way for Michael Selig, who became the 16th chairman of the CFTC on Monday, Dec. 22, 2025. While Selig brings with him a rather full agenda focused on digital… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Women in Financial Services, General Interest, Governance, Digital Asset Custody, Digital Transformation, FinTech Startups, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: Caroline D. Pham, CFTC, crypto-based derivatives, cryptocurrency regulation, cryptocurrency trading, digital asset securities, Digital Assets

New CFTC Chair Wants ‘Common Sense’ Crypto Regs

January 6, 2026 by Faye Kilburn

New CFTC Chair Wants ‘Common Sense’ Crypto Regs

Michael Selig took the helm as the 16th chairman of the Commodity Futures Trading Commission (CFTC) on Monday, Dec. 22, 2025, bringing with him an agenda focused on digital assets and stripping back over-reaching regulation. Nominated by President Donald Trump in late October and confirmed by the U.S. Senate in mid-December, Selig’s appointment suggests the… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Derivatives Processing, Digital Asset Custody, Digital Transformation, FinTech Startups, FinTech Trends, Back-Office, Blockchain/DLT, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: CFTC, crypto exchanges, crypto-based derivatives, cryptocurrency regulation, digital asset securities custody

CFTC Names Members of the ‘CEO Innovation Council’

December 16, 2025 by Eugene Grygo

CFTC Names Members of the ‘CEO Innovation Council’

Whether or not you agree with her policies and opinions, there is no question that Caroline D. Pham, the acting chairman for the Commodity Futures Trading Commission (CFTC), does not waste time. On November 25, Pham announced the creation of the CFTC CEO Innovation Council, and roughly two weeks later, on December 10, named the… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Operational Risk, Ops Automation, Digital Transformation, FinTech Startups, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting Tagged With: automation, CFTC, crypto exchanges, derivatives exchanges, Digital Assets, operational risk, OTC derivatives, Standards

CFTC Facilitates a Digital Assets Pilot Program

December 10, 2025 by Eugene Grygo

CFTC Facilitates a Digital Assets Pilot Program

The Commodity Futures Trading Commission (CFTC) is forging ahead with its highly publicized “Crypto Sprint.” The Genius Act has facilitated a pilot program that will allow derivatives markets to explore the use of key digital assets, such as Bitcoin (BTC), Ethereum (ETH), and the USD Coin stablecoin (USDC), as collateral, according to Caroline D. Pham,… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Middle-Office, Operational Risk, Ops Automation, Risk Management, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: CFTC, collateral margin, Crypto Sprint, DCO, Digital Assets, Genius Act, pilot test, swap entities

Spot Crypto Trading Pioneers Get CFTC’s Approval

December 10, 2025 by FTF News

Spot Crypto Trading Pioneers Get CFTC’s Approval

Listed spot cryptocurrency products will begin trading for the first time via U.S. federally regulated markets on futures exchanges registered with the Commodity Futures Trading Commission, says Caroline D. Pham, the acting chairman of the CFTC. The milestone “follows recommendations by the President’s Working Group on Digital Asset Markets and stakeholder insights from the CFTC’s… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Back Office, Buy-Side, Industry News, Middle-Office, Operational Risk, Digital Asset Custody, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: automation, back office, blockchain, CFTC, cryptocurrency regulation, operational risk, regulatory reporting, spot crypto trading

CFTC Seeks Nominees for ‘CEO Innovation Council’

December 3, 2025 by Eugene Grygo

CFTC Seeks Nominees for ‘CEO Innovation Council’

The U.S. Commodity Futures Trading Commission (CFTC) is seeking “expert industry leaders” to join its new CFTC CEO Innovation Council, which is intended to help the regulator “in shaping responsible regulations that will lay the foundation for America’s Golden Age of Innovation,” says Caroline D. Pham, the acting chairman of the CFTC. Those who wish… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Clearing, Data Management, Middle-Office, Operational Risk, Digital Asset Custody, Digital Transformation, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Derivatives, Regulatory Compliance, Regulatory Reporting Tagged With: back office, CFTC, CFTC Chairman, CFTC Commissioner, compliance, data management, OTC derivatives, stablecoin, Standards, tokenization, tokenized collateral, wall street

Time to Unify the SEC & CFTC?

November 19, 2025 by Eugene Grygo

Time to Unify the SEC & CFTC?

Should the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC) become a single, unified regulator? It’s not a new question, and recently I have been asking industry veterans if now is a good time to unite the regulators as a way of achieving regulatory efficiencies. But Timothy G. Massad,… Read More >>

Filed Under: Commodities Trading Operations, Derivatives Exchanges, Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Buy-Side, Clearing, Corporate Actions, Data Management, Middle-Office, Operational Risk, Risk Management, Sell-Side, Settlement, T+1 Settlement, Governance, Digital Asset Custody, Digital Transformation, FinTech Trends, Back-Office, Blockchain/DLT, Integration, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, Buy-side, CFTC, compliance, data management, Digital Assets, Securities Operations, settlement, Standards, tokenization, tokenized securities, wall street

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