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CFTC Issues Interpretation Concerning Retail Commodity Transactions , 6673-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding Regulation 23.502 for Swap Dealers and Major Swap Participants in Connection with Swaps Subject to Risk Mitigation Techniques under EMIR , 6672-13 |
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CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC , 6671-13 |
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Federal Court Enters $2.2 Million Default Judgment Order against Florida-based Global Precious Metals Trading Company and its Owner, Michael Ghaemi, for Operating a Fraudulent Off-Exchange Precious Metals Scheme , 6670-13 |
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CFTC Seeks to Revoke Registration of Chicago Trading Managers LLC , 6669-13 |
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CFTC Seeks to Revoke the Commodity Pool Operator and Commodity Trading Advisor Registrations of Veruus Wealth Management, LLC , 6668-13 |
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Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning , 6667-13 |
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CFTC Charges Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6666-13 |
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CFTC Approves Final Regulations for Exemption from Required Clearing for Swaps Entered into by Certain Cooperatives; Division of Clearing and Risk Issues Time-Limited No-Action Relief , 6665-13 |
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CFTC Issues Proposed Rules for Derivatives Clearing Organizations to Align with International Standards , 6664-13 |
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CFTC Adopts Harmonization Rules for Registered Investment Companies , 6663-13 |
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CFTC Issues Final Rules to implement Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations , 6662-13 |
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Federal Court in Illinois Orders Chicago-Based Trader Bradley Scott Schiller to Pay more than $7.5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud , 6661-13 |
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CFTC’s Division of Market Oversight Issues an Amendment to Previously Issued No-Action Relief for Certain Commodity Trading Advisors and Investment Advisors from the Prohibition of Aggregation for Large Notional Off-Facility Swaps , 6660-13 |
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CFTC Obtains Default Judgment against Christopher Smithers of Florida for Fraud in Connection with Futures Contracts, Fraud in Connection with Contracts of Sale of a Commodity in Interstate Commerce, and Violations of a U.S. District Court’s Prior Orders , 6659-13 |
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CFTC Releases Rule Enforcement Review of the Chicago Mercantile Exchange and the Chicago Board of Trade , 6658-13 |
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CFTC Division of Clearing and Risk Issues Notice Regarding Expiration of Cross-Border Exemptive Relief from the Clearing Requirement , 6657-13 |
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CFTC Issues Order of Temporary Registration as a Swap Execution Facility to Bloomberg SEF LLC , 6656-13 |
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CFTC Charges Florida-Based AmeriFirst Management LLC and Its Owners, John P. D’Onofrio, George E. Sarafianos, and Scott D. Piccininni, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6655-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Prohibition of Aggregation Under § 43.6(h)(6) for Large Notional Off-Facility Swaps , 6654-13 |
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CFTC Orders William J. Hionas and his Florida Firms, Pan American Metals of Miami and Pan American Metals of Miami Beach, to Pay Approximately $4.7 Million in Restitution and a Monetary Penalty for Fraudulent Off-Exchange Transactions in Precious Metals , 6653-13 |
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Federal Court in Illinois Orders Michael Peskin to Pay More Than $480,000 and Imposes Other Sanctions to Settle Charges that Peskin Violated A Permanent Trading Ban , 6652-13 |
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CFTC Announces that Mandatory Clearing of iTraxx CDS Indices for Category 2 Entities Begins Today , 6651-13 |
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CFTC’s Agricultural Advisory Committee to Meet July 25, 2013 , 6650-13 |
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CFTC Orders Panther Energy Trading LLC and its Principal Michael J. Coscia to Pay $2.8 Million and Bans Them from Trading for One Year, for Spoofing in Numerous Commodity Futures Contracts , 6649-13 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6648-13 |
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CFTC Names Christopher Ehrman as Director of Whistleblower Office , 6647-13 |
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CFTC Seeks Public Comment on Request from CME Group to Issue Market Regulation Advisory Notice Regarding CME Rule 534 (“Wash Trades Prohibited”) , 6646-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against California Resident Michael J. Leighton for Defrauding Commodity Pool Participants , 6645-13 |
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CFTC Charges Texas-based RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White with Commodity Pool Fraud , 6644-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Technical Correction to No-Action Letter Regarding Certain Risk Mitigation Requirements , 6643-13 |
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CFTC Staff Issues Four No-Action Letters Providing Relief in Connection with Issues Relating to Swaps Regulation , 6642-13 |
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CFTC Seeks to Revoke the Registrations of Joshua Wallace and his Company System Capital, LLC Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wallace’s Conviction for Criminal Commodities Fraud , 6641-13 |
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The European Commission and the CFTC reach a Common Path Forward on Derivatives , 6640-13 |
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CFTC’s Division of Market Oversight Issues Advisory Regarding the Obligation to Submit Accurate Form 204 Reports Showing Cash Positions in Wheat, Corn, Oats, Soybeans, Soybean Oil, and Soybean Meal , 6639-13 |
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CFTC to Hold Open Meeting to Consider Cross-Border Final Guidance; and Cross-Border Phase-In Exemptive Order , 6638-13 |
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Federal Court in New York Orders Defendant Laurence Dodge, Principal of Madison Dean, Inc., to Pay nearly $400,000 to Settle Forex Fraud Charges , 6635-13 |
