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Joint Statement of the CFTC and the European Commission Following Meeting on Cross-Border Derivatives Regulatory Issues , 8009-19 |
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CFTC Orders Registrant to Pay $1.5 Million for Violations Related to Cyber Breach , 8008-19 |
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CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization , 8007-19 |
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CFTC Charges Trading Systems Firm and its Principal with Solicitation Fraud and False Statements , 8006-19 |
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Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data , 8005-19 |
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CFTC Charges Unregistered Forex Trading Firm and Its Principal with Fraud and Misappropriation , 8004-19 |
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CFTC’s Global Markets Advisory Committee to Meet on September 24 , 8003-19 |
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CFTC Orders Registrant to Pay $1.25 Million for Fraud, Unauthorized Trading, and Violating Speculative Position Limits in Live Cattle Futures , 8002-19 |
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CFTC to Hold an Open Commission Meeting on September 16 , 8001-19 |
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SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies , 8000-19 |
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CFTC Commissioner Behnam Announces Agenda for the September 9 Market Risk Advisory Committee Public Meeting , 7999-19 |
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CFTC Commissioner Dan M. Berkovitz Seeks EEMAC Associate Member Nominations and Public Comment on Committee Priorities , 7998-19 |
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CFTC’s Market Risk Advisory Committee to Meet September 9 by Teleconference , 7997-19 |
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CFTC Charges International Enterprise with Operating a $103 Million Fraudulent Binary Options Trading Scheme , 7995-19 |
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Federal Court Orders Defendants to Pay More Than $2.7 Million in a Forex Fraud Scheme , 7994-19 |
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Chairman Tarbert Announces Additional Executive Leadership Appointments , 7993-19 |
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CFTC’s Gorfine to Depart Agency , 7992-19 |
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New CFTC Talks Episode Explores Effects of Capital Rules , 7991-19 |
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Chairman Tarbert Assumes Sponsorship of the CFTC’s Agricultural Advisory Committee , 7990-19 |
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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief from Certain Position Aggregation Requirements , 7989-19 |
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CFTC Charges Trader with Spoofing in Financial Futures Markets , 7988-19 |
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Chairman Tarbert Announces Key Executive Leadership Appointment , 7987-19 |
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ICYMI: Chairman Tarbert Lays Out Priorities in Fox Business Op-Ed , 7986-19 |
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CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations , 7985-19 |
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Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals , 7984-19 |
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In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York Banks , 7983-19 |
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CFTC Staff, in Conjunction with the Financial Crimes Enforcement Network, Clarifies the Customer Identification Program and Beneficial Ownership Obligations of Certain Introducing Brokers , 7982-19 |
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CFTC Extends Public Comment Period for Proposal to Improve Data Quality and Streamline Regulations for Swap Data Repositories , 7981-19 |
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Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Forex Fraud Scheme , 7980-19 |
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CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps , 7979-19 |
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Chairman Tarbert Announces CFTC Executive Leadership Appointments , 7978-19 |
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Chairman Tarbert Announces Key Office Appointments , 7977-19 |
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Tarbert Begins Term as 14th CFTC Chairman , 7976-19 |
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CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders , 7975-19 |
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CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees , 7974-19 |
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CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees , 7973-19 |
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CFTC Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures to Pay a $500,000 Penalty to Settle Charges of Unauthorized Options Trading, Failure to Supervise, and Other Violations , 7972-19 |
