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CFTC Announces that the Third Phase of Mandatory Clearing of iTraxx CDS Indices Begins Today and Reminds Market Participants that Cross-Border Exemptive Relief Expired on October 9, 2013 , 6748-13 |
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CFTC Will Hold an Open Meeting to Consider Proposals on Position Limits and Other Business , 6747-13 |
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CFTC Will Hold an Open Meeting to Consider Enhancing Protections for Futures Customers and Other Business , 6746-13 |
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CFTC Announces Schedule for Publication of Reports Delayed by the Government Shutdown , 6745-13 |
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CFTC Adopts Rule Amendment to Clarify that Prohibition against Swap Dealers and Major Swap Participants Associating with Persons Who Are Statutorily Disqualified Does Not Apply in the Case of Clerical and Ministerial Employees , 6744-13 |
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CFTC Seeks Public Comment on Certification from trueEX, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6743-13 |
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CFTC Seeks Public Comment on Certification from Javelin SEF, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6742-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to GTX SEF LLC , 6741-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions by Certain Non-U.S. Persons, for Purposes of Making Calculations Under the Swap Dealer Definition , 6740-13 |
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CFTC’s Division of Market Oversight Provides No-Action Relief to Applicant Seeking Temporary Registration as a Swap Execution Facility , 6739-13 |
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CFTC Announcement Concerning Commitments of Trader and Cotton on Call Reports , 6738-13 |
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CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibition on Manipulative Conduct In Connection with “London Whale” Swaps Trades , 6737-13 |
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CFTC Announces Gretchen L. Lowe as Acting Director of Division of Enforcement , 6736-13 |
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CFTC Announces Departure of Enforcement Director David Meister , 6735-13 |
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CFTC’s Division of Market Oversight Issues an Amendment to Previously Issued Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Certain Swap Data Reporting Requirements of Parts 43 and 45 of the Commission’s Regulation , 6734-13 |
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CFTC’s Division of Clearing and Risk and Division of Market Oversight Provide Time-Limited No-Action Relief for (1) Futures Commission Merchants from Requirement to Comply with Commission Regulations 1.73(a)(2)(i) and (a)(2)(ii); and (2) Temporarily Regis , 6733-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio , 6732-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief for Swap Execution Facilities and Designated Contract Markets from the One Business Day Product Review Period Requirement of Commission Regulation 40.2(a)(2) for Newly-Listed Swap , 6731-13 |
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CFTC Issues Order Relating to the Continuation, Shutdown and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations , 6730-13 |
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CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. and Bharat Adatia in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6729-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6728-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Commission Regulation 37.6(b) for Non-Cleared Swaps , 6727-13 |
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CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts , 6726-13 |
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FXDirectDealer, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6725-13 |
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CFTC Charges Registered COMEX Floor Broker Dominick Anthony Cognata with Failing to Produce Required Documents in Response to a CFTC Subpoena and Seeks to Revoke His Registration , 6724-13 |
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CFTC Charges TOTE Fund LLC, MJS Capital Management LLC and their Principal, Michael J. Siegel with Commodity Pool Fraud , 6723-13 |
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CFTC Staff Responds to Frequently Asked Questions on Commodity Options , 6722-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Temporarily Registered SEFs from any Enforcement Responsibilities under Commission Regulations 37.200(a), 37.200(b), 37.201(b)(1), 37.201(b)(3), 37.201(b)(5), 37.202(b) and 37.2 , 6721-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Certain Swap Data Reporting Requirements of Parts 43 and 45 of the Commission’s Regulations , 6719-13 |
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CFTC Designates Nodal Exchange, LLC as a Contract Market and CFTC’s Division of Market Oversight and Division of Clearing and Risk Issue Related Time Limited No-Action Letters , 6718-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to Thomson Reuters (SEF) LLC and ICAP SEF (US) LLC , 6717-13 |
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CFTC Charges Ethanol Trader John Aaron Brooks with Fraud for Scheming to Conceal Trading Losses , 6716-13 |
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CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 for Violation of Customer Protection Regulation , 6715-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $525,000 Penalty for Violations of Customer Fund Segregation Requirements, Failure to Notify the CFTC of its Under-Segregation, and Misstatements to the CFTC , 6714-13 |
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CFTC Charges New York-Based The Yorkshire Group Inc. and Its Owner, Scott Platto with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 6713-13 |
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CFTC Files Enforcement Action Charging Missouri Resident Daniel K. Steele and His Foreign Currency Firm with Violations of the Commodity Exchange Act and Forex Regulations , 6712-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, for Making False Statements to the NFA and Failing to Meet Minimum Financial Requirements , 6711-13 |
