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CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods , 8972-24 |
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CFTC Staff Extends Temporary No-Action Letter Regarding Capital and Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers Domiciled in the EU and the UK , 8971-24 |
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Federal Court Orders New York Man to Pay Over $36 Million for Forex and Digital Asset Fraud , 8970-24 |
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CFTC Approves Final Guidance Regarding the Listing of Voluntary Carbon Credit Derivative Contracts , 8969-24 |
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Cancelled — September 20 Commission Open Meeting , 8968-24 |
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CFTC to Hold a Commission Open Meeting September 20 , 8967-24 |
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The CFTC Approves Part 40 Final Rule to Simplify and Enhance Rule and Product Submission Processes , 8966-24 |
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CFTC Approves Final Rule Regarding Exemptions from Certain Compliance Requirements for Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools , 8965-24 |
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CFTC Charges Unregistered Florida Commodity Pool Operator and Its Chief Executive Officer with Futures Fraud , 8964-24 |
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CFTC Partners with Federal and Private Groups to Distribute Cryptocurrency Relationship Investment Scam Information , 8963-24 |
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Federal Court Orders Israeli Man to Disgorge $7 Million in Gains from Fraudulent Binary Options Scheme , 8962-24 |
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CFTC Issues Order Against Uniswap Labs for Offering Illegal Digital Asset Derivatives Trading , 8961-24 |
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CFTC Staff Issues No-Action Letter Related to Reporting and Recordkeeping Requirements for Fully Collateralized Binary Options , 8960-24 |
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Federal Court Orders Oregon Man to Pay Over $209 Million in Monetary Sanctions for Commodity Pool Ponzi Schemes , 8959-24 |
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CFTC Awards Over $4 Million to Insider Whistleblower , 8958-24 |
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CFTC Grants Kalshi Klear LLC DCO Registration , 8957-24 |
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Federal Court Orders Operator of Commodity Trading Fund to Pay Restitution and Penalties for Defrauding Fund Participants and Commingling Pool Funds , 8956-24 |
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CFTC Staff Extends Brexit-Related No-Action Positions , 8955-24 |
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CFTC Orders Nasdaq Futures, Inc. to Pay $22 Million for Core Principle Violations, Failing to Fully Disclose Incentives, Providing False and Misleading Information , 8954-24 |
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CFTC Orders Swiss Energy Trader to Pay $48 Million for Attempted Market Manipulation , 8953-24 |
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CFTC to Host a Virtual Career Forum for Law School Students , 8952-24 |
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CFTC Orders The Bank of New York Mellon to Pay $5 Million for Swap Reporting and Supervision Failures and Violation of a Prior CFTC Order , 8951-24 |
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CFTC Orders Wisconsin Man to Pay Civil Monetary Penalty for Acting as an Unregistered Commodity Trading Advisor , 8950-24 |
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CFTC Staff Issues No-Action Letter for EU-Based and UK-Based DCOs Regarding Certain Requirements Applicable to DCOs , 8949-24 |
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CFTC Files Actions to Revoke Registrations of Introducing Broker, Commodity Pool Operator, and Associated Person for Violating CEA Antifraud Provisions , 8948-24 |
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CFTC Orders Unregistered Pool Operator and its Managing Member to Pay More than $520,000 for Fraud Violations , 8947-24 |
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CFTC Orders Brazilian and Swiss Sugar Companies to Pay $750,000 for Wash Sales , 8946-24 |
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CFTC Orders Truist Bank to Pay $3 Million Penalty and Remediate Recordkeeping and Supervision Failures Relating to Widespread Use of Unapproved Communications Methods , 8945-24 |
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CFTC Orders TD Bank to Pay $4 Million for Supervision Failures Impacting its Electronic Communications Surveillance System , 8944-24 |
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CFTC Orders TD Bank and Cowen to Pay Civil Monetary Penalties for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods , 8943-24 |
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CFTC Orders Multinational Commodities Trading Firm to Pay $500,000 Penalty for Federal Position Limit Violations , 8942-24 |
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CFTC Orders Texas Company to Pay $100,000 for Failing to Register as an Introducing Broker , 8941-24 |
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CFTC Approves a Joint Rule Proposal to Establish Technical Data Reporting Standards , 8940-24 |
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CFTC Awards Over $1 Million to Whistleblower Who Aided a Digital Assets-Related Investigation , 8939-24 |
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CFTC Obtains $12.7 Billion Judgment Against FTX and Alameda , 8938-24 |
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CFTC Exempts Additional Singapore Recognized Market Operators from SEF Registration Requirements , 8937-24 |
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CFTC Warns Customers to Watch for Follow-on Frauds , 8936-24 |
