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Commissioner Jill Sommers Announces her Resignation , 6502-13 |
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CFTC Approves Rulebook and Issues Amended Registration Order for LCH.Clearnet LLC , 6501-13 |
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CFTC Staff to Host Public Roundtable to Discuss the “Futurization of Swaps” , 6500-13 |
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CFTC Obtains Default Judgment against Lincolnshire Trading Partners, LLC and Scott Geisinger for Violating CFTC Registration Requirements , 6499-13 |
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CFTC Extending Review Period on a Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook , 6498-13 |
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Pro Trading Course LLC’s Commodity Trading Advisor Registration Revoked , 6497-13 |
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Federal Court in Nevada Orders Charles Leroy Timberlake and Trans Global Investments, LLC to Pay $340,000 to Settle Commodity Pool Fraud Charges , 6496-13 |
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CFTC Grants Order to ICE Clear Credit Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account , 6495-13 |
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CFTC Announces Appointment of Melissa Jurgens to Serve as Secretary of the Commission , 6494-13 |
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CFTC Extends Public Comment Period on Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Future Commission Merchants and Derivatives Clearing Organizations , 6493-13 |
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CFTC Extending Period for Accepting Public Comment on a CME Request to Adopt New Chapter 10 and New Rule 1001 of CME’s Rulebook , 6492-13 |
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CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures , 6491-13 |
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations , 6490-13 |
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CFTC Announces Real-Time Public Reporting of Swap Transactions and Swap Dealer Registration Began December 31, 2012 , 6489-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Further No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition , 6488-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Registration Relief to Certain Introducing Brokers and Commodity Trading Advisors Involved in Swaps Activities , 6487-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief to Certain Associated Persons , 6486-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant to Recent Changes to Commission Regulations , 6485-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Investment Pools that Invest in Legacy Securitization Vehicles , 6484-12 |
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CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief , 6483-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Reporting of Certain Non-Reporting Counterparty Information Pursuant to Parts 45 and 46 , 6482-12 |
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CFTC’s Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps , 6481-12 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members , 6480-12 |
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CFTC’s Division of Market Oversight Provides Additional Information Concerning its Existing No-Action Relief (CFTC Letter No. 12-46) for Reporting Parties Regarding Legal Entity Identifiers and Certain Identifying Information , 6479-12 |
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CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank , 6478-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition , 6477-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition , 6476-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio , 6475-12 |
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CFTC Settles Charges against Virginia Resident Alexander Giap for Engaging in Two Fraudulent Commodity Futures Trading Schemes , 6474-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From the Reporting Provisions of Part 45 for CDS Clearing-Related Swaps , 6473-12 |
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CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates , 6472-12 |
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CFTC Releases Rule Enforcement Review of ICE Futures US , 6471-12 |
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CFTC Issues Interim Final Rules Regarding Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants , 6470-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Obligation of Swap Dealers and Major Swap Participants to Provide the Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps , 6469-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions on Natural Gas Exchange for Purposes of Making Calculations Under the Swap Dealer Definition , 6468-12 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Japan Securities Clearing Corporation and its Clearing Participants , 6467-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations , 6466-12 |