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CFTC Revokes Registrations of Oregon Resident Joshua W. Wallace and His Company, System Capital, LLC , 6861-14 |
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CFTC Charges Ron Earl McCullough and David Christopher Mayhew with Fraudulent Solicitation, False Statements, and Misappropriation of More than$1.6 Million of Customer Funds , 6860-14 |
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CFTC Orders Florida-based Worth Asset Management and its Owner, Paul L. Kaulesar, to pay over $6.2 Million in Restitution and a Fine for Multi-Million Dollar Fraudulent Precious Metals Scheme , 6859-14 |
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CFTC Revokes Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC , 6858-14 |
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Statement by the CFTC and the European Commission on progress relating to the implementation of the 2013 Path Forward Statement , 6857-14 |
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CFTC Requests Public Comment on a Petition Submitted by LCH.Clearnet Ltd for an Amendment to its Orders of Registration as a Derivatives Clearing Organization , 6856-14 |
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Federal Court Orders North Carolina Resident Michael Anthony Jenkins and his Company, Harbor Light Asset Management, to Pay over $5.2 Million for Solicitation Fraud, Misappropriation, and Embezzlement in a Ponzi Scheme , 6855-14 |
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Federal Court in Nebraska Imposes More than $10 Million in Sanctions against Michael B. Kratville, Jonathan W. Arrington, Elite Management Holdings Corp., and MJM Enterprises LLC for Commodity Pool Fraud , 6854-14 |
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CFTC Announces Measures to Promote Trading on Swap Execution Facilities and Support an Orderly Transition to Mandatory Trading , 6853-14 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for ASX Clear (Futures) Pty Limited , 6852-14 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Additional Guidance to Futures Commission Merchants and Depositories Regarding Procedures for New Filing Requirements , 6851-14 |
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Federal Court in Florida Orders James Burbage, Frank Gaudino, and Their Companies to Pay over $5 Million in Restitution and Penalties to Settle Charges Related to Illegal, Off-Exchange Precious Metals Transactions , 6850-14 |
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CFTC Announces Agenda for Upcoming Global Markets Advisory Committee Meeting , 6849-14 |
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CFTC Revokes the Registrations of Chicago Trading Managers LLC , 6847-14 |
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CFTC Obtains Court Order against Arizona Resident Thomas L. Hampton for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator , 6846-14 |
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CFTC’s Division of Market Oversight to Host Public Roundtable Regarding the Trade Execution Requirement and Package Transactions , 6845-14 |
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CFTC Announces Agenda for the Upcoming Public Meeting of the Technology Advisory Committee , 6844-14 |
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The Commodity Futures Trading Commission’s Division of Market Oversight Announces Trade Execution Mandate for Certain Credit Default Swaps , 6843-14 |
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Commodity Futures Trading Commission’s Global Markets Advisory Committee to Meet February 12, 2014 , 6842-14 |
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The Commodity Futures Trading Commission’s Division of Market Oversight Announces Trade Execution Mandate for Certain Credit Default Swaps and Additional Interest Rate Swaps , 6841-14 |
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CFTC Announces Rescheduled Public Meeting of the Technology Advisory Committee , 6840-14 |
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Federal Court Orders California Defendants CTI Group, LLC, Cooper Trading, Stephen Craig Symons, and James David Kline to Pay Over $29 Million in Disgorgement and Fines for Fraudulent Sale of Automated Trading Systems , 6839-14 |
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The Commodity Futures Trading Commission’s Division of Market Oversight Announces Trade Execution Mandate for Additional Interest Rate Swaps , 6838-14 |
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CFTC to Form an Interdivisional Working Group to Review Regulatory Reporting , 6837-14 |
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CFTC Announces Public Meeting of the Technology Advisory Committee, Has Been Cancelled , 6836-14 |
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CFTC Reopens Comment Period for Concept Release on Risk Controls and System Safeguards for Automated Trading Environments , 6835-14 |
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CFTC Approves Application of BSDR LLC for Provisional Registration as a Swap Data Repository , 6834-14 |
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CFTC Staff Issues Exemptive and Interpretative Letters to Nadex and Commission Amends Nadex Derivatives Clearing Organization Registration Order , 6833-14 |
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CFTC Announces Start of Regularly Scheduled Staff Calls on OCR Implementation , 6832-14 |
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The Commodity Futures Trading Commission Staff Announces Trade Execution Mandate for Certain Interest Rate Swaps , 6831-14 |
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CFTC Expands Portal Capabilities to Make Public Submissions More Efficient and Secure , 6830-14 |
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CFTC Announces Agenda for the Public Meeting of the Technology Advisory Committee , 6829-14 |
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Federal Court in Texas Orders $1.5 Million in Sanctions against Defendant Mark E. Rice for Fraudulent Forex Scheme , 6828-14 |
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CFTC Orders Multigrain SA and Agricola Xingu SA to Pay $500,000 for Call Cotton Reporting Violations , 6827-14 |
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Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities , 6826-14 |
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Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to Pay $50,000 to Settle Record-Keeping Violation Action , 6825-14 |
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CFTC Charges Florida-Based Vertical Integration Group LLC and Its Owners, Richard V. Morello and Junior Alexis, with Engaging in Illegal, Off-exchange Commodity Transactions , 6824-14 |
