|
|
CFTC Staff Issues No-Action Relief from the Limitation on the Holding of Customer Funds Outside of the United States under Regulation 30.7(c) , 6823-14 |
|
|
CFTC Issues Time-Limited No-Action Relief from Compliance with Certain Conditions Associated with the Receipt of Customer Funds by Futures Commission Merchants , 6822-14 |
|
|
CFTC Extends Public Comment Period on Proposed Amendment to Aggregation Policy Under Part 150 , 6821-14 |
|
|
CFTC Announces Public Meeting of the Technology Advisory Committee , 6820-14 |
|
|
CFTC Acting Chairman Mark Wetjen Names Joseph Cisewski and Scott Reinhart as Co-Chiefs of Staff and Co-Chief Operating Officers , 6819-14 |
|
|
CFTC Staff Issues Extension to Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6818-14 |
|
|
CFTC Approves Request for Comment on Application of Commission Regulations to U.S. Activities of Non-U.S. Swap Dealers , 6817-14 |
|
|
FERC, CFTC Sign MOUs on Jurisdiction and Information Sharing , 6816-14 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
CFTC Grants Singapore Exchange Derivatives Clearing Ltd. Registration as a Derivatives Clearing Organization , 6812-13 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Advisory Concerning Commodity Trading Advisors and Swaps , 6807-13 |
|
|
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 |
|
|
CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Swap Execution Facilities , 6805-13 |
|
|
CFTC’s Division of Market Oversight Provides Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6804-13 |
|
|
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 |
|
|
CFTC Approves Comparability Determinations for Six Jurisdictions for Substituted Compliance Purposes , 6802-13 |
|
|
CFTC Approves Limited-Purpose Swap Dealer Designation for State Street Bank and Trust Company , 6801-13 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
CFTC Grants LCH.Clearnet SA Registration as a Derivatives Clearing Organization , 6796-13 |
|
|
CFTC Names Mark P. Wetjen Acting Chairman of the Commission , 6795-13 |
|
|
CFTC Announces Sayee Srinivasan as the Acting Chief Economist , 6794-13 |
|
|
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 |
|
|
Mark Wetjen Appointed Sponsor of CFTC’s Global Markets Advisory Committee , 6792-13 |
|
|
CFTC Charges Direct Investment Products, Inc. and Its Principal, Alexander Glytenko, with Commodity Pool Fraud and Misappropriation , 6791-13 |
|
|
Agencies Issue Final Rules Implementing the Volcker Rule , 6790-13 |
|
|
CFTC Meeting Scheduled for December 10, 2013, Has Been Cancelled , 6789-13 |
|
|
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 |
|
|
Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud , 6787-13 |
