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CFTC’s Division of Clearing and Risk Provides No-Action Relief to Small Bank Holding Companies and Community Development Financial Institutions , 7305-16 |
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CFTC Charges Irvine, California Resident Ghassan Tawachi and His Company, Intelligent Trades, LLC, with Defrauding Customers in Connection with a Commodity Futures Trading System , 7304-16 |
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CFTC’s Division of Market Oversight Grants FTSEF LLC Temporary Registration as a Swap Execution Facility , 7303-16 |
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CFTC Approves a Proposed Rule Providing an Alternative to Fingerprinting for Foreign Natural Persons , 7302-16 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to OTC Clearing Hong Kong Limited , 7301-15 |
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CFTC and Hong Kong Securities and Futures Commission Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7300-15 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief from Certain Audit Trail Requirements in CFTC Regulations Related to Post-trade Allocation , 7299-15 |
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CFTC Staff Issues Request for Comment on Draft Technical Specifications for Certain Swap Data Elements , 7298-15 |
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest , 7297-15 |
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CFTC Approves Final Rule on Records of Commodity Interest and Related Cash or Forward Transactions , 7296-15 |
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CFTC Staff Issues Advisory Reminding Swap Dealers and Major Swap Participants of their Reporting Obligations as Required by Commission Regulations , 7295-15 |
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CFTC Approves Final Rule on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants , 7294-15 |
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CFTC Unanimously Approves Proposed Enhanced Rules on Cybersecurity for Derivatives Clearing Organizations, Trading Platforms, and Swap Data Repositories , 7293-15 |
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Federal Court Orders California Resident Thomas Gillons to Pay More than $1.9 Million in Restitution and Penalties for Fraud and Misappropriation , 7292-15 |
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CFTC to Hold an Open Commission Meeting on December 16th to Consider Final and Proposed Rules , 7291-15 |
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CFTC Divisions Issue Extension of Time-Limited No-Action Relief from Certain Recordkeeping Requirements under Commission Regulations , 7290-15 |
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CFTC Files and Settles Charges against Total Gas & Power North America, Inc. and Therese Tran for Attempted Manipulation of Natural Gas Monthly Index Settlement Prices , 7289-15 |
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CFTC Imposes a Monetary Penalty and Permanently Bars California Resident Garen Ovsepyan and Forex Trading Advisors Sharpe Signa, LLC and Haeres Capital, LLC from the Commodities Industry , 7288-15 |
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CFTC Charges California Resident David Bryant with Fraud and Acting as an Unregistered Commodity Pool Operator , 7287-15 |
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CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty and Restitution and Bans Him from Trading and Registration for Engaging in Gas and Crude Oil Futures Transactions that Defrauded His Employer , 7286-15 |
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Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry , 7285-15 |
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CFTC Divisions Provide Conditional No-Action Relief to Wells Fargo Bank, N.A. , 7284-15 |
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CFTC Unanimously Approves Proposed Rule on Automated Trading , 7283-15 |
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CFTC to Discontinue Collecting and Issuing Reports on Index Investment Data , 7282-15 |
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Sentry Asset Group, LLC dba Sentry Asset Management, LLC, and John Pakel for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7281-15 |
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CFTC Staff Releases Swap Dealer De Minimis Exception Preliminary Report , 7280-15 |
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CFTC to Hold an Open Commission Meeting on November 24th to Consider a Proposal on Automated Trading , 7279-15 |
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CFTC Divisions Provide Time-Limited No-Action Relief for Certain Affiliated Counterparties , 7278-15 |
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CFTC Charges IB Capital FX, LLC, Michel Geurkink, and Emad Echadi with Soliciting at Least $50 Million from Members of the Public for Forex Trading, without Being Registered with the CFTC , 7277-15 |
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CFTC Staff Issues 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 , 7276-15 |
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OTC Derivatives Regulators Deliver Report to the G20 Leaders , 7275-15 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2015 , 7274-15 |
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CFTC Staff Publishes Responses to Frequently Asked Questions Regarding Commission Forms CPO-PQR and CTA-PR , 7273-15 |
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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 , 7272-15 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for Upcoming Public Meeting , 7271-15 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to Korea Exchange, Inc. , 7270-15 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to Japan Securities Clearing Corporation , 7269-15 |
