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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members , 6898-14 |
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CFTC Staff Issues Interpretative Guidance Regarding Auditor Independence , 6897-14 |
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CFTC Staff Issues an Extension of Time-Limited No-Action Relief to LCH and Nodal , 6896-14 |
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CFTC Staff Issues an Extension of Time-Limited No-Action Relief to LCH , 6895-14 |
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rules and Regulations Pertaining to Segregated and Secured Amount Funds , 6894-14 |
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U.S. Commodity Futures Trading Commission and Canadian Authorities Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 6893-14 |
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CFTC Charges New York-Based SK Madison Commodities, LLC and its principals, Michael James Seward and Yan Kaziyev, with Commodity Pool Fraud and Other Violations , 6892-14 |
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Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool Scheme , 6891-14 |
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CFTC Seeks Public Comment on ICE Swap Trade, LLC’s Self-Certification of Package Trade Rule , 6890-14 |
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CFTC Orders Morgan Stanley Capital Group Inc. to Pay $200,000 Penalty for Violating Soybean Meal Futures Speculative Position Limits , 6889-14 |
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CFTC Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the De Minimis Threshold for Swaps with Utility Special Entities , 6888-14 |
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An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole and Global Strategic Marketing, Inc. to Pay over $2.2 Million in Sanctions in Connection with Foreign Currency Ponzi Scheme , 6887-14 |
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CFTC’s Division of Market Oversight Provides Extension of Temporary No-Action Relief with respect to Swaps Trading on Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States , 6886-14 |
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CFTC Charges Dallas-based Steven Lyn Scott with Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 6885-14 |
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CFTC Charges Florida-Based Gold Distributors Inc. and Its Owner, Jordan Cain, with Engaging in Illegal, Off-exchange Commodity Transactions , 6884-14 |
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CFTC Charges Ohioan Bradley A. Miklovich with Unauthorized Trading , 6883-14 |
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CFTC Requests Public Comment on Swap Data Reporting Rules , 6882-14 |
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CFTC Charges South Carolina Residents Robert S. and Amy L. Leben with Commodity Pool Fraud for the Operation of a Multi-Million Dollar Ponzi Scheme , 6881-14 |
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CFTC Orders Sean R. Stropp to Pay $250,000 Penalty to Settle Charges of Making False and Misleading Statements During a CFTC Investigation , 6880-14 |
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CFTC Staff to Host a Public Roundtable to Discuss Risk Management Practices by Commodity Pool Operators , 6879-14 |
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CFTC Staff Issues an Extension of Time-Limited No-Action Relief to Eurex Clearing , 6878-14 |
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CFTC Announces that Bloomberg SEF LLC Available-to-Trade Determinations Are Self-Certified , 6877-14 |
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U.S. Commodity Futures Trading Commission and Financial Services Agency of Japan Sign Memorandum of Cooperation to Enhance Supervision of Cross-Border Regulated Entities , 6876-14 |
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Federal Court in Illinois Imposes over $3.5 Million in Sanctions against Dimitry Vishnevetsky and his Company, Oxford Capital, for Orchestrating Commodity Fraud Schemes and Misappropriation , 6875-14 |
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CFTC Provides Time-Limited No-Action Relief to Certain Affiliated Counterparties , 6874-14 |
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CFTC, FERC Implement Information Sharing MOU , 6873-14 |
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CFTC Staff to Host Public Roundtable to Discuss Dodd-Frank End-User Issues , 6872-14 |
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CFTC Staff Re-Issues Frequently Asked Questions on Commodity Options , 6871-14 |
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Federal Court Orders Arizona Resident Ray Thomas Brown to Pay over $1.2 Million for Solicitation Fraud and Misappropriation in Operating Two Commodity Scams , 6870-14 |
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CFTC Obtains Default Judgment against Altamont Global Partners LLC and John G. Wilkins for Commodity Pool Fraud, Misappropriation, and Making False Statements to National Futures Association , 6869-14 |
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CFTC Obtains Permanent Injunction Orders and Monetary Sanctions against Susan G. Davis, David E. Howard II, and Joseph Burgos for Fraudulent Solicitation of Managed Foreign Currency Trading Accounts , 6868-14 |
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CFTC Charges Melody Nganthuy Phan of California and Her Companies, My Forex Planet, Inc., Wal Capital, S.A., and Top Global Capital, Inc., with Operating a Fraudulent $3.7 Million Off-Exchange Forex Scheme , 6867-14 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues a Staff Advisory on Best Practices for Complying with the Gramm-Leach-Bliley Act Security Safeguards , 6866-14 |
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CFTC Revokes Registrations of Colorado-Based Forex Company, Veruus Wealth Management, LLC , 6865-14 |
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CFTC Staff Issues No-Action Letter for Southwest Power Pool , 6864-14 |
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CFTC Seeks to Revoke the Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Fraud and on Walji’s Conviction for Criminal Commodities Fraud , 6863-14 |
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CFTC Seeks to Revoke Registration of Introducing Broker iFinix Futures, Inc. , 6862-14 |
