CFTCFinal Rule
Rules of Practice and Rules Relating to Investigations
Finance & Banking
Ad Space (leaderboard)
Summary
The CFTC updated its rules for how the agency investigates potential violations and conducts legal proceedings against companies and individuals in the futures and derivatives markets. These changes affect how quickly investigations happen, what evidence can be used, and how fairly people can defend themselves when accused of breaking trading rules.
Key Points
- 1The CFTC clarified procedures for investigating suspected market manipulation, fraud, and other violations in futures and options trading
- 2New rules specify what rights people have during investigations, including how they can access evidence and respond to charges
- 3The regulation establishes clearer timelines and processes for CFTC enforcement actions so cases move through the system more predictably
- 4Trading firms, brokers, and market participants need to understand these rules to properly respond if the CFTC investigates them
- 5The changes aim to balance the agency's ability to protect markets from fraud with fair treatment for those being investigated
Key Dates
Published
December 3, 2025
This summary is for informational purposes only. It may not capture all nuances of the regulation. Always refer to the official text for authoritative information.
The Digest Network
Ad Space (rectangle)
Related Regulations
OCCFinance & Banking
Bank Appeals Process
IRSFinance & Banking
Updating Regulation References to Reflect Reorganizations at the Department of Justice and the Internal Revenue Service
FTCFinance & Banking