|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Registration Relief to Certain Introducing Brokers and Commodity Trading Advisors Involved in Swaps Activities , 6487-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief to Certain Associated Persons , 6486-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant to Recent Changes to Commission Regulations , 6485-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Investment Pools that Invest in Legacy Securitization Vehicles , 6484-12 |
|
|
CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief , 6483-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Reporting of Certain Non-Reporting Counterparty Information Pursuant to Parts 45 and 46 , 6482-12 |
|
|
CFTC’s Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps , 6481-12 |
|
|
CFTC’s Division of Clearing and Risk Issues No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members , 6480-12 |
|
|
CFTC’s Division of Market Oversight Provides Additional Information Concerning its Existing No-Action Relief (CFTC Letter No. 12-46) for Reporting Parties Regarding Legal Entity Identifiers and Certain Identifying Information , 6479-12 |
|
|
CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank , 6478-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition , 6477-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition , 6476-12 |
|
|
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 , 6475-12 |
|
|
CFTC Settles Charges against Virginia Resident Alexander Giap for Engaging in Two Fraudulent Commodity Futures Trading Schemes , 6474-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From the Reporting Provisions of Part 45 for CDS Clearing-Related Swaps , 6473-12 |
|
|
CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates , 6472-12 |
|
|
CFTC Releases Rule Enforcement Review of ICE Futures US , 6471-12 |
|
|
CFTC Issues Interim Final Rules Regarding Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants , 6470-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Obligation of Swap Dealers and Major Swap Participants to Provide the Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps , 6469-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions on Natural Gas Exchange for Purposes of Making Calculations Under the Swap Dealer Definition , 6468-12 |
|
|
CFTC’s Division of Clearing and Risk Issues No-Action Letter for Japan Securities Clearing Corporation and its Clearing Participants , 6467-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations , 6466-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions, and Reporting of Unique Swap Identifiers in Related Trades under Part 45 by Prime Brokers , 6465-12 |
|
|
CFTC Approves Final Rule on Adaptation of Regulations to Incorporate Swaps – Records of Transactions , 6464-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers , 6463-12 |
|
|
CFTC’s Division of Market Oversight Issues No-Action Letter Addressing Timeline for Swap Dealer Compliance with Large Swap Trader Reporting Rules , 6462-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Post-Allocation Swap Timing Requirement of § 45.3(e)(ii)(A) of the Commission’s Regulations , 6461-12 |
|
|
CFTC Charges Calif. Company Arista LLC and Calif. Residents Abdul Sultan Walji and Reniero Francisco with Fraud in Operating $9.5 Million Commodity Pool , 6460-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States , 6459-12 |
|
|
CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Provide Certain Exemptive Relief Consistent With the Expiring July 2012 Exemptive Order , 6458-12 |
|
|
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 , 6457-12 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief for Part 20 Reporting Entities Regarding Identifying Information and for Part 45 & Part 46 Reporting Counterparties Regarding Legal Entity Identifiers & Other Identifying Information , 6456-12 |
|
|
CFTC Accepting Public Comment on an Amended 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 , 6455-12 |
|
|
Federal Court in Texas Orders Houston-based Defendants Christopher Daley and his Company, TC Credit Service d/b/a Del-Mair Group, to Pay Over $2.6 Million for Fraud in a Commodity Pool Scheme , 6454-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Guidance and No-Action Letter for Operators of Securitization Vehicles , 6453-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Mortgage REITs , 6452-12 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Provides No-Action Relief to Swap Dealers and Major Swap Participants from Compliance with Statutory Disqualification Prohibition with Respect to their Association with Certain Persons , 6451-12 |
