May 2022 | Volume 42 | Issue 5 Futures and Derivatives Law Report
ENDNOTES :
1
FY 2020 Division of Enforcement Annual Report , CFTC ( Dec . 2020 ), available at https :// w ww . cftc . gov / About / CFTCReports / index . htm ( last visited Mar . 31 , 2022 ).
2
FY 2021 Agency Financial Report , CFTC ( Nov . 2021 ), available at https :// www . cftc . gov / A bout / CFTCReports / index . htm ( last visited Mar . 31 , 2022 ).
3
Id .
4
Paul Kiernan , Biden Moves to Fill CFTC Vacancies , WALL ST . J . ( Sept . 13 , 2021 ), https :// w ww . wsj . com / articles / white-house-biden-to-nomi nate-rostin-behnam-as-cftc-chairman- 11631567789 .
5
Keynote of Chariman Rostin Benham at the FIA Boca 2022 International Futures Industry Conference , Boca Raton , Florida , CFTC ( Mar . 16 , 2022 ), https :// www . cftc . gov / PressRoom / Spe echesTestimony / opabehnam21 [ hereinafter “ Boca Keynote ”]; H . R . 4173 , 111th Cong . ( 2010 ).
6
Heath P . Tarbert Concludes Historic Tenure as CFTC Chairman , CFTC ( Jan . 21 , 2021 ), http s :// www . cftc . gov / PressRoom / PressReleases / 8354-21 .
7
Statement of Commissioner Brian D . Quintez on the End of His Term and Future Plans , CFTC ( Aug . 19 , 2021 ), https :// www . cftc . gov / Pre ssRoom / SpeechesTestimony / quintenzstatement 081921 .
8
President Biden Announces 10 Key Nominations , White House ( Sept . 13 , 2021 ), https :// ww w . whitehouse . gov / briefing-room / statements-rele ases / 2021 / 09 / 13 / president-biden-announces-10- key-nominations-2 /.
9
Statement of Commissioner Dan M . Berkovitz : Intent to Depart , CFTC ( Sept . 9 , 2021 ), https :// www . cftc . gov / PressRoom / Speeche sTestimony / berkovitzstatement090921 ; Dan Berkovitz Named SEC General Counsel ; John Coates to Leave SEC , SEC ( Sept . 28 , 2021 ), http s :// www . sec . gov / news / press-release / 2021-198 .
10
Statement of Commissioner Dawn D . Stump , CFTC ( Dec . 9 , 2021 ), https :// www . cftc . g ov / PressRoom / SpeechesTestimony / stumpstatem ent120921 .
11
President Biden Announces 10 Key Nominations , supra note 8 .
12
President Biden Announces Key Nominees and an Appointee to Board and Commission Roles , White House ( Dec . 15 , 2021 ), https :// ww w . whitehouse . gov / briefing-room / statements-rele ases / 2021 / 12 / 15 / president-biden-announces-ke y-nominees-and-an-appointee-to-board-and-com mission-roles /.
13
S . PN1513 , 117th Cong . ( 2022 ); S . PN1514 , 117th Cong . ( 2022 ); S . PN1655 , 117th Cong . ( 2022 ); S . PN1513 , 117th Cong . ( 2022 ).
14
Boca Keynote , supra note 5 ; H . R . 4173 , 111th Cong . ( 2010 ).
15
Boca Keynote , supra note 5 (“ I believe in a strong , effective , thoughtful , and firm enforcement program . Where preservation of market integrity and protecting the public relies on deterrence , there is a strong case for ensuring that every matter we file , and public action we take , brings about greater compliance and makes the next violation less likely to occur .”).
16
Keynote Address of Chairman Rostin Behnam at the ABA Business Law Section Derivatives & Futures Law Committee Virtual Winter Meeting , CFTC ( Jan . 7 , 2022 ) https :// www . cftc . g ov / PressRoom / SpeechesTestimony / opabehn am19 [ hereinafter “ ABA Keynote ”]; Exec . Order No . 14067 , 87 Fed . Reg . 14143 ( Mar . 9 , 2022 ).
17
ABA Keynote , supra note 16 .
18
FY 2021 Agency Financial Report , supra note 2 .
19
Exec . Order No . 14067 , 87 Fed . Reg . 14143 ( Mar . 9 , 2022 ).
20
Examining Digital Assets : Risks , Regulation , and Innovation Before the S . Comm . On Agriculture , Nutrition , & Forestry , 117th Cong . ( 2022 ) ( statement of Rostin Behnam , Chairman , CFTC ), available at https :// www . agriculture . sena te . gov / hearings / examining-digital-assets-risks-re gulation-and-innovation .
21
Boca Keynote , supra note 5 .
22
Thompson Releases Crypto Regulatory
14 K 2022 Thomson Reuters