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CFTC Releases Annual Enforcement Results for Fiscal Year 2016 , 7488-16 |
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CFTC Unanimously Approves Final Rule Amendments to its Regulations Regarding CPO Financial Reports , 7487-16 |
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Federal Court in Chicago Orders U.K. Resident Navinder Singh Sarao to Pay More than $38 Million in Monetary Sanctions for Price Manipulation and Spoofing , 7486-16 |
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Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 Million from Members of the Public to Trade Forex, without Being Registered with the CFTC , 7485-16 |
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CFTC Division of Market Oversight Reminds Market Participants of the Upcoming Expiration of Certain No-Action Relief from the Ownership and Control Final Rule , 7484-16 |
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CFTC Staff Issues Results of Supervisory Stress Test of Clearinghouses , 7483-16 |
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CFTC Approves Final Rule Amending the Timing for Filing Chief Compliance Officer Annual Reports by Certain Registrants , 7482-16 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for November 17 Public Meeting , 7481-16 |
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CFTC Submits Proposed Consent Order to Federal Court in Chicago that Would Resolve the CFTC’s Price Manipulation and Spoofing Action against U.K. Resident Navinder Singh Sarao , 7480-16 |
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CFTC Approves Supplemental Proposal to Automated Trading Regulation , 7479-16 |
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CFTC and Canadian Authority Sign Counterpart to Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7478-16 |
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CFTC’s Market Risk Advisory Committee to Meet on November 17, 2016 , 7477-16 |
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CFTC Further Implements Trade Execution Requirement , 7476-16 |
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CFTC Issues Orders of Registration to Five Foreign Boards of Trade to Permit Trading by Direct Access from the U.S. , 7475-16 |
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CFTC to Hold an Open Commission Meeting on November 4th to Consider a Supplemental Proposal to Automated Trading Regulation , 7474-16 |
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Federal Court Orders Scott Platto and His Company The Yorkshire Group, Inc. to Pay More Than $1.56 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7473-16 |
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CFTC Issues Final Order to Exempt Certain Specified Transactions of Southwest Power Pool and Amendment to the 2013 Final Order Regarding RTOs and ISOs , 7472-16 |
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Commission Approves an Order Regarding Swap Dealer Registration De Minimis Exception , 7471-16 |
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CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange, Inc. and the Commodity Exchange, Inc. , 7470-16 |
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CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System , 7469-16 |
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CFTC Approves Proposed Rule on the Application of Certain Swap Provisions of the Commodity Exchange Act in Cross-Border Transactions , 7468-16 |
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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 , 7467-16 |
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CFTC Signs MOU with UK Financial Conduct Authority to Enhance Supervision of Cross-Border Regulated Firms , 7466-16 |
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CFTC Charges Jody Dupont of South Carolina and His Company, Open Range Trading LLC, with Commodity Trading Advisor Fraud , 7465-16 |
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CFTC Charges California Residents Joseph Dufresne, Megan Renkow, and Their Company, United Business Servicing, Inc., Doing Business as Schooloftrade.Com, with Fraudulently Marketing Commodity Futures Trading Strategies and Systems , 7464-16 |
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CFTC Charges New Jersey Residents Alcibiades Cifuentes and Jennifer Wee Cifuentes, and Cifuentes Fund Management, LLC, with Fraud and Misappropriation , 7463-16 |
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CFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil Penalty for Acting as an Unregistered Commodity Trading Advisor and for Disclosure Violations , 7462-16 |
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CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in Restitution and a Civil Monetary Penalty for Fraudulent Omissions in Connection with His Operation of ETF Trend Trading , 7461-16 |
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CFTC Charges Options Trader Thomas C. Lindstrom with Fraud , 7460-16 |
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CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 Million in Trading Profits and Pay a $1.75 Million Penalty for His Illegal Futures and Options Trading , 7459-16 |
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CFTC Charges Introducing Broker eFloorTrade, LLC and its Principal John Moore with Recordkeeping and Supervision Failures and Charges Moore for his False and Misleading Statements to the CFTC , 7458-16 |
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CFTC Expands Interest Rate Swap Clearing Requirement , 7457-16 |
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CFTC Orders SG Americas Securities, LLC to Pay a $750,000 Civil Monetary Penalty for its Participation in Wash Transactions and Related Supervision Failures , 7456-16 |
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CFTC Charges Kevin Michael Symons of Foothill Ranch, California and His Company, FTS Financial, Inc., with Fraud and Jerry Austin Simmons of Charlotte, North Carolina with Fraud and Failure to Register with the CFTC , 7455-16 |
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CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7454-16 |
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CFTC Orders Advanced Trading Workshop, Inc. of Jamesville, New York, to Pay a Total of $940,000 in Disgorgement and a Civil Monetary Penalty for Solicitation Fraud and Failure to Register , 7453-16 |
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CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations , 7452-16 |
