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CFTC Charges Texas Resident Jonathan Hansen and His Company, J. Hansen Investments, LLC, with Commodity Pool Fraud, Misappropriation, and Commingling of Funds , 6340-12 |
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CFTC Charges California Resident Marc Perlman and his company, iGlobal Strategic Management, LLC, with Solicitation Fraud and Misappropriation in Commodity Pool Ponzi Scheme , 6339-12 |
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CFTC Certifies Euro STOXX 50 Ex Financials Index Futures Contract Submitted by Eurex Deutschland , 6338-12 |
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CFTC Orders Foreign Traders SMP Bank and Epaster Investments, Ltd. to Pay $980,000 for Engaging in a Wash Sale Scheme in the CME’s Japanese Yen Options Contract , 6337-12 |
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CFTC Issues Final Rules Establishing Swap Dealer and Major Swap Participant Requirements for Swap Trading Relationship Documentation, Swap Confirmation, Reconciliation and Compression of Swap Portfolios , 6336-12 |
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CFTC Seeks to Revoke Registration of Growth Capital Management LLC Based on CFTC Anti-Fraud Action , 6335-12 |
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CFTC Approves Conforming Amendments to Part 4 Regulations Governing Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors , 6334-12 |
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CFTC Charges Illinois Resident Donald A. Newell and his Company, Quiddity, LLC, with Running a Fraudulent Allocation Scheme, Making Material False Statements to the CFTC, and Recordkeeping Violations , 6333-12 |
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CFTC Issues Proposed Order to Exempt Certain Specified Transactions of Regional Transmission Organizations and Independent System Operators , 6332-12 |
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CFTC Announces Website for Market Participants to Register for CFTC Interim Compliant Identifiers (CICI) , 6331-12 |
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CFTC Issues Proposed Order to Exempt Certain Non-Financial Energy Derivative Transactions Between Government-Owned Electric Utilities and Cooperatively-Owned Electric Utilities , 6330-12 |
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CFTC Approves Conforming Rule on Registration of Intermediaries , 6329-12 |
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CFTC Proposes Inter-Affiliate Clearing Exemption , 6328-12 |
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CFTC Staff Grants Temporary No-Action Relief to Persons Eligible for the Trade Option Exemption , 6327-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Responds to Questions Regarding Recent Amendments to Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors , 6326-12 |
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CFTC Settles Action against Douglas Elsworth Wilson and Three California Companies for Solicitation Fraud, Misappropriating Customer Funds, and Issuing False Statements in Commodity Futures and Forex Scheme , 6325-12 |
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CFTC Charges Colorado Resident Michael Bruce Gale with Commodity Pool Fraud , 6324-12 |
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CFTC Requests Public Comment on Cantor Clearinghouse, LP Petition to Amend its Order of Registration as a Derivatives Clearing Organization , 6323-12 |
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CFTC Staff to Host a Public Roundtable to Discuss Additional Customer Protections , 6322-12 |
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Federal Court in Idaho Orders Michael Justin Hoopes to Pay over $11.8 Million for Operating a Ponzi Scheme , 6321-12 |
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CFTC Charges California Resident Victor Yu and His Company, VFRS, LLC, with Multi-Million Dollar Forex Fraud and Failure to Register as a Commodity Trading Advisor , 6320-12 |
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CFTC Requests Public Comment on an Application by LCH.Clearnet SA for Registration as a Derivatives Clearing Organization , 6319-12 |
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CFTC Suspends Registrations of Chicago Mercantile Exchange Traders Christopher Foufas, William Kerstein, and Maksim Baron for Unlawful S&P 500 Trading , 6318-12 |
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CFTC Orders Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay $700,000 for Large Trader Reporting and Supervision Violations , 6317-12 |
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Public Meeting of the Technology Advisory Committee to be Held Tomorrow , 6316-12 |
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CFTC Charges Florida Residents Philip Leon, Paul Rangel, and John Wilkins and Their Company, Altamont Global Partners LLC, with Fraud and Misappropriation , 6315-12 |
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CFTC’s Division of Market Oversight Issues Temporary No-Action Relief from the Aggregation Requirements of the Commission’s Rule Regarding Position Limits for Futures and Swaps , 6314-12 |
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CFTC Seeks to Revoke Registrations of Brian Kim and his Company, Liquid Capital Management, LLC , 6313-12 |
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CFTC Approves Regulations to Phase in Compliance with Clearing Requirements of the Dodd-Frank Act , 6312-12 |
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CFTC Proposes Clearing Determination for Certain Credit Default Swaps and Interest Rate Swaps , 6311-12 |
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CFTC Announces Designation of DTCC-SWIFT as the Provider of CFTC Interim Compliant Identifiers , 6310-12 |
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CFTC Certifies Euro STOXX 50 Volatility Index Mini Futures Contract Submitted by Eurex Deutschland , 6309-12 |
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CFTC Orders LMC Asset Management, Inc. to Pay $140,000 Civil Penalty for Forex Registration Violations , 6308-12 |
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Federal Court in Missouri Orders Randall L. Stuckey and His Business Entities to Pay a $250,000 Penalty to Settle CFTC Forex Futures Fraud Action , 6307-12 |
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CFTC’s Division of Market Oversight Issues Temporary No-Action Relief to Non-Clearing Swap Dealers to Comply with Large Trader Reporting Requirements for Physical Commodity Swaps and Swaptions , 6306-12 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6305-12 |
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Federal Court in California Orders Las Vegas Resident Gordon A. Driver and His Companies to Pay over $41 Million in Restitution and Penalties in Commodity Pool Ponzi Scheme , 6304-12 |
