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CFTC Requests Public Input on Simplifying Rules , 7555-17 |
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CFTC Proposes to Amend Rules Governing Chief Compliance Officer Duties and Annual Reports for Certain Registrants , 7554-17 |
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CFTC Charges Pennsylvania Resident William H. Powderly IV with Fraudulently Soliciting Commodity Futures Customers and Distributing False Account Statements , 7553-17 |
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CFTC’s Division of Market Oversight Issues Guidance on the Calculation of Projected Operating Costs by Designated Contract Markets and Swap Execution Facilities , 7552-17 |
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CFTC Adds 71 Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Binary Options and Forex , 7551-17 |
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CFTC Charges Purported Hedge Fund Capitol Equity FX LLC and California Residents Robert Leland Johnson IV and Marisa Elena Johnson with Fraud, Misappropriation, and Registration Violations , 7550-17 |
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CFTC Grants Registration to NEX SEF Limited , 7549-17 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Extension of Time-Limited No-Action Relief for Swap Dealers Doing Business in Europe , 7548-17 |
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CFTC Seeks Public Comment on Request from CME for Order Permitting Commingling of Funds in Connection with Futures and Foreign Futures Contracts Listed on the Dubai Mercantile Exchange Limited , 7547-17 |
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CFTC Announces N. Charles Thornton III as Director of the Office of Legislative Affairs , 7546-17 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for April 25 Public Meeting , 7545-17 |
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Federal Court Orders Relief Defendants Westward International Ltd. and Coucarin Holdings Ltd. to Disgorge Ill-Gotten Funds Totaling More than $1.77 Million in CFTC Binary Options Fraud Action , 7544-17 |
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CFTC Acting Chairman Giancarlo Announced Andrew B. Busch as the Commission’s first Chief Market Intelligence Officer , 7543-17 |
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CFTC Orders Former Citigroup Global Markets Inc. Traders Stephen Gola and Jonathan Brims to Pay $350,000 and $200,000, Respectively, and Bans Them from Trading for 6 Months for Spoofing in U.S. Treasury Futures Markets , 7542-17 |
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CFTC Acting Chairman Giancarlo Appoints James McDonald as Enforcement Director , 7541-17 |
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CFTC’s Market Risk Advisory Committee to Meet on April 25, 2017 , 7540-17 |
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Davisco Foods International, Inc. Ordered to Pay $150,000 Penalty for Acting as a Futures Commission Merchant without Registering with the CFTC , 7539-17 |
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CFTC Staff Provides Relief Associated with Swap Trade Confirmations , 7538-17 |
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CFTC Refuses Registrations of Georgia-based Zero Chaos Advisors, LLC and Ronald Edward Fisher , 7537-17 |
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Federal Court in Florida Orders Neil Pecker and His Company, Vision Financial Partners, LLC, to Pay More than $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC Binary Options Fraud Action , 7536-17 |
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CFTC Extends Comment Period on Proposed Capital Requirements of Swap Dealers and Major Swap Participants , 7535-17 |
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CFTC’s Division of Market Oversight Issues Conditional Extension of No-Action Relief Regarding Masking of Certain Identifying Information Required to be Reported , 7534-17 |
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CFTC Announces Daniel J. Davis as General Counsel , 7533-17 |
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CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving Gold , 7532-17 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Transition for March 1, 2017 Compliance Date for Variation Margin and No-Action Relief from Minimum Transfer Amount Provisions , 7531-17 |
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CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator Requirements , 7530-17 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief for Aggregation Notice Filings for Position Limits , 7529-17 |
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CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for FXCM’s Defrauding of Retail Forex Customers , 7528-17 |
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CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7527-17 |
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Federal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9 Million in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7526-17 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief for Swap Dealers Doing Business in EU , 7525-17 |
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CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation , 7524-17 |
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CFTC Acting Chairman Giancarlo Announces Amir Zaidi as Director of the Division of Market Oversight , 7523-17 |
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CFTC General Counsel Jonathan L. Marcus to Depart Agency , 7522-17 |
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CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise , 7521-17 |
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CFTC Extends Public Comment Period for the Supplemental Proposal for Regulation Automated Trading , 7520-17 |
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CFTC Names J. Christopher Giancarlo Acting Chairman , 7519-17 |