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FERC, CFTC Sign MOUs on Jurisdiction and Information Sharing , 6816-14 |
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CFTC Orders President of a Russian Bank, Artem Obolensky, to Pay $250,000 Penalty to Settle Charges of Making False Statements to the CFTC During an Investigation , 6815-14 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process , 6814-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants, Swap Dealers, and Major Swap Participants Concerning Annual Reports of Chief Compliance Officers , 6813-13 |
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CFTC Grants Singapore Exchange Derivatives Clearing Ltd. Registration as a Derivatives Clearing Organization , 6812-13 |
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U.S. Commodity Futures Trading Commission and Monetary Authority of Singapore Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 6811-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements , 6810-13 |
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CFTC’s Division of Market Oversight Provides Conditional No-Action Relief from Limitations on Execution Methods for Required Transactions that Involve Basis Risk Mitigation Services Provided by a SEF , 6809-3 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Swaps Entered Into by Persons Registered as Floor Traders , 6808-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Advisory Concerning Commodity Trading Advisors and Swaps , 6807-13 |
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CFTC Staff Issues Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerla , 6806-13 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Swap Execution Facilities , 6805-13 |
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CFTC’s Division of Market Oversight Provides Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6804-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Certain Requirements of Part 45 and Part 46 of the Commission’s Regulations, for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada , 6803-13 |
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CFTC Approves Comparability Determinations for Six Jurisdictions for Substituted Compliance Purposes , 6802-13 |
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CFTC Approves Limited-Purpose Swap Dealer Designation for State Street Bank and Trust Company , 6801-13 |
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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 , 6800-13 |
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CFTC Staff Issues an Extension of a Time-Limited No-Action Relief to Japan Securities Clearing Corporation and Its Qualifying Participants and Affiliates , 6799-13 |
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Federal Court in New York Orders Defendant David M. Nunn to Pay a $600,000 Civil Monetary Penalty for Engaging in an Illegal Coffee Futures Trading Scheme and Making False Statements to ICE Futures U.S. , 6798-13 |
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Federal Court in Florida Orders More than $8 Million in Sanctions against Defendants Philip Leon and Paul Rangel for Commodity Pool Fraud and Misappropriation , 6797-13 |
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CFTC Grants LCH.Clearnet SA Registration as a Derivatives Clearing Organization , 6796-13 |
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CFTC Names Mark P. Wetjen Acting Chairman of the Commission , 6795-13 |
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CFTC Announces Sayee Srinivasan as the Acting Chief Economist , 6794-13 |
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CFTC Orders David R. Lynch to Pay More than $470,000 in Restitution and a Civil Monetary Penalty to Settle Charges of Fraudulent Misappropriation, Fraudulent Solicitations, and False Statements , 6793-13 |
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Mark Wetjen Appointed Sponsor of CFTC’s Global Markets Advisory Committee , 6792-13 |
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CFTC Charges Direct Investment Products, Inc. and Its Principal, Alexander Glytenko, with Commodity Pool Fraud and Misappropriation , 6791-13 |
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Agencies Issue Final Rules Implementing the Volcker Rule , 6790-13 |
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CFTC Meeting Scheduled for December 10, 2013, Has Been Cancelled , 6789-13 |
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CFTC Seeks Public Comment on Certification from Bloomberg SEF LLC to Implement Available-to-Trade Determinations for Certain Interest Rate and Credit Default Swaps , 6788-13 |
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Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud , 6787-13 |
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Federal Court Orders Defendants Arista LLC, Abdul Sultan Walji, and Reniero Francisco, All of Southern California, to Pay over $22 Million in Restitution and Fines for Commodity Pool Fraud and Making False Statements to the CFTC , 6786-13 |
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CFTC to Hold an Open Meeting to Consider Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds , 6785-13 |
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Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud , 6784-13 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6783-13 |
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Federal Court in Connecticut Orders Feisal Sharif to Pay over $3 Million to Settle Fraud Charges in CFTC Action , 6782-13 |
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Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 6781-13 |
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CFTC Announces Weekly Swaps Report , 6780-13 |