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CFTC Chairman Giancarlo Names Maggie Sklar Senior Counsel , 7673-18 |
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CFTC Charges Illinois Traders Richard D. Carter and Mark R. Slobodnik and their Company, Blue Guru Trading, LLC, with Fraud , 7672-18 |
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Registration Open for CFTC and Kansas State University Upcoming Agricultural Commodity Futures Conference , 7671-18 |
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CFTC Approves Amendments to Commission Regulations under Parts 3 and 9 , 7670-18 |
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CFTC Staff Issues No-Action Relief to Futures Commission Merchants and Introducing Brokers Regarding the Capital Treatment of Deferred Tax Liabilities Resulting from Changes in Accounting Principles , 7669-18 |
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CFTC’s Market Risk Advisory Committee to Meet on January 31, 2018 to Discuss the Self-Certification Process for New Product Listings and Related Matters , 7668-18 |
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Federal Court Orders Florida-based Mintco LLC and its Owners, Stuart Rubin and Richard Zimmerman, to Pay $340,000 in Civil Monetary Penalties for Engaging in Illegal Off-Exchange Precious Metals Transactions , 7667-17 |
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CFTC Revokes FBOT Registration Upon Request of CME Europe , 7666-17 |
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CFTC Issues Proposed Interpretation on Virtual Currency “Actual Delivery” in Retail Transactions , 7664-17 |
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CFTC Adds 21 Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Binary Options and Forex , 7663-17 |
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CFTC Launches Virtual Currency Resource Web Page , 7665-17 |
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CFTC Divisions Extend Time-Limited No-Action Relief from the Swap Clearing and Trade Execution Requirements for Certain Affiliated Counterparties , 7662-17 |
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CFTC Seeks Public Comment on Proposed Changes to Chicago Mercantile Exchange Inc. Rules Regarding Direct Funding Participants , 7661-17 |
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CFTC’s Technology Advisory Committee to Meet on January 23, 2018 , 7660-17 |
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Federal Court Orders Kevin Michael Symons of Foot Hill Ranch, Calif., & His Firm, FTS Financial, Inc., to Pay over $5 Million Total for Fraud & Jerry Austin Simmons of Charlotte, N.C., to Pay $360,000 for Fraud & Failure to Register with the CFTC , 7659-17 |
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CFTC Issues Proposed Exemptive Order to Permit ICE Clear Credit, ICE Clear US, and ICE Clear Europe to Invest Customer Funds in French and German Sovereign Debt , 7658-17 |
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CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers , 7657-17 |
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CFTC Approves Exemption from SEF Registration Requirement for Multilateral Trading Facilities and Organised Trading Facilities Authorized Within the EU , 7656-17 |
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CFTC Releases Rule Enforcement Review of the Chicago Board of Trade, Chicago Mercantile Exchange, Commodity Exchange, Inc. and New York Mercantile Exchange, Inc. , 7655-17 |
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CFTC Statement on Self-Certification of Bitcoin Products by CME, CFE and Cantor Exchange , 7654-17 |
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LabCFTC Director Featured in Georgetown University Law Center’s Issue Brief on Fintech Innovation , 7653-17 |
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CFTC Staff Grants Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland , 7652-17 |
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Federal Court Orders California Residents Joseph Dufresne, Megan Renkow, and Their Companies to Pay More than $4.9 Million in Restitution and a Monetary Penalty for Fraud in Connection with Offering and Selling Futures Trading Strategies and Systems , 7651-17 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2017 , 7650-17 |
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CFTC’s Division of Clearing and Risk Extends No-Action Relief for Shanghai Clearing House , 7649-17 |
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CFTC Division of Market Oversight Issues No-Action Relief from Certain Timing Requirements Regarding SEF Chief Compliance Officer Annual Compliance Reports and Fourth Quarter Financial Reports , 7648-17 |
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Federal Court Sanctions Gerard Suite and STA Opus LLC for Commodity Pool Fraud and Frank Collins for Misappropriation of Customer Funds , 7647-17 |
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CFTC and Kansas State University Announce 2018 Agricultural Commodity Futures Conference , 7646-17 |
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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief for Swap Execution Facilities from Certain Block Trade Requirements , 7645-17 |
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CFTC Orders INTL FCStone Financial Inc. and FCStone Merchant Services LLC to Pay Penalty for Unlawful Exchange for Related Position Transactions , 7644-17 |
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CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil’s NYMEX-cleared Swaps Position , 7643-17 |
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Federal Court Orders Arizona Resident Derek Springfield and His Company, Draven, LLC, to Pay over $2.2 Million in Restitution and a Penalty in CFTC Anti-Fraud Action , 7642-17 |
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CFTC’s Division of Clearing and Risk Provides No-Action Relief for Three International Financial Institutions from the Swap Clearing Requirement , 7641-17 |
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CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct & Reporting Requirements, & for Supervision Failures , 7640-17 |
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CFTC Commissioner Quintenz Names Margo Bailey Special Counsel , 7639-17 |
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CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports , 7638-17 |
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CFTC Grants Amended Order to Chicago Mercantile Exchange, Inc. Permitting Commingling of Funds in Connection with Futures and Foreign Futures Contracts Listed on the Dubai Mercantile Exchange Limited , 7637-17 |
