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CFTC Orders Florida-based Forex Global Solutions Inc., Forex Global Solutions Ltd., Barry Sendach, and Joshua Kershner to Pay $750,000 for Foreign Currency (Forex) Fraud and Violating CFTC Registration Requirements , 6561-13 |
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CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty , 6560-13 |
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CFTC Charges New York Firm 4X Solutions, Inc. and its Principal, Whileon Chay, with Forex Fraud Ponzi Scheme , 6559-13 |
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CFTC’s Division of Market Oversight and Division of Clearing and Risk Issue Joint No-Action Relief for Swaps Between Affiliated Counterparties from Certain Swap Reporting Requirements , 6558-13 |
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CFTC’s Division of Market Oversight Issues No-Action Relief for End-Users from Certain Reporting and Recordkeeping Requirements of the Trade Option Exemption , 6557-13 |
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Federal Court Orders Illinois Resident Brant L. Rushton and his Company, Summit Trading & Capital LLC, to Pay over $4.8 Million for Fraud and other Violations in Commodity Pool Scheme , 6556-13 |
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CFTC Revokes Registrations of Gordon A. Driver and Axcess Fund Management, LLC , 6555-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter for Commodity Pool Operators of Securitization Vehicles , 6554-13 |
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CFTC Approves Final Regulations Governing Exemption from Required Clearing for Inter-Affiliate Swaps , 6553-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations , 6552-13 |
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CFTC Staff Issue Extension of No-Action Relief to Certain Regional Transmission Organizations (RTOs), Independent System Operators (ISOs), and/or Their Participants , 6551-13 |
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CFTC Approves Final Regulations Governing Dual and Multiple Associations of Associated Persons of Swap Dealers and Major Swap Participants , 6550-13 |
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CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud , 6549-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Persons from Registration as an Introducing Broker or Commodity Trading Advisor , 6548-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants Concerning Annual Reports of Chief Compliance Officers , 6547-13 |
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CFTC Issues Final Order to Exempt Certain Specified Transactions of Regional Transmission Organizations and Independent System Operators , 6546-13 |
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CFTC Issues Final Order to Exempt Certain Non-Financial Energy Derivative Transactions between Government and/or Cooperatively-Owned Electric Utilities , 6545-13 |
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Federal Court in California Orders Victor Yu and His Company to Pay over $3.2 Million in Foreign Currency Fraud Action , 6544-13 |
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CFTC Revokes Registrations of New Jersey-based Victor E. Cilli and Progressive Investment Funds LLC , 6543-13 |
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CFTC Orders Florida Firms, Joseph Glenn Commodities LLC and JGCF LLC, and Owners Scott Newcom and Anthony Pulieri to Pay over $1 Million in Restitution and Penalties for Fraudulent Off-Exchange Transactions in Precious Metals with Retail Customers , 6542-13 |
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CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants , 6541-13 |
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CFTC Issues Amended Registration Order for Natural Gas Exchange Inc. , 6540-13 |
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Federal Court Orders Oregon-based System Capital, LLC and its President Joshua Wallace to Pay $840,000 for Solicitation Fraud and Making False Statements to the National Futures Association , 6539-13 |
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CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Certain Swaps , 6538-13 |
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Federal Court Imposes More than $57 Million in Sanctions against Two Mexican Companies, MXBK Group S.A. de C.V. and MBFX S.A., for Defrauding their U.S. Foreign Currency (Forex) Customers , 6537-13 |
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CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Compression Exercises , 6536-13 |
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CFTC’s Division of Market Oversight and Office of Data and Technology Issue Advisory Reminding All Swap Counterparties of April 10 Deadline to Obtain a CICI Identifier , 6535-13 |
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Federal Court Orders Colorado Man Nicholas Trimble and His Two Companies, Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC, to Pay More than $3.5 Million in Foreign Currency Fraud Action , 6534-13 |
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CFTC Revokes Registration of Growth Capital Management LLC , 6533-13 |
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CFTC Sues Michael Alcocer and His Company, InovaTrade, Inc., for Foreign Currency Fraud and Misappropriation , 6532-13 |
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CFTC Certifies Futures Contracts on the MICEX Index, the Hang Seng Index, the FTSE/JSE Top 40 Index, and the BSE Sensitive Index Submitted by the Bolsa de Valores, Mercadorias e Futuros (BVMF-Brazil) , 6531-13 |
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Federal Court in New York Orders Madison Dean, Inc. and Its Principal, George Athanasatos, to Pay over $1.4 Million to Settle Forex Fraud Charges in CFTC Enforcement Action , 6530-13 |
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CFTC Announces that Mandatory Clearing Begins Today , 6529-13 |
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CFTC Announces Departure of General Counsel Dan M. Berkovitz , 6528-13 |
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CFTC’s Division of Market Oversight Issues Advisory Reminding Market Participants of Certain Swap Data Reporting Requirements , 6527-13 |
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CFTC Provides Operational Guidance Concerning Maintenance of CICIs Issued Through Assisted Registration , 6526-13 |
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CFTC Approves Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook , 6525-13 |
