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CFTC and SEC Propose Joint Rules Relating to Trading of Security Futures Products; Cash Settlement, Trading Halts , 4561-01 |
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CFTC Issues New Rules for Futures Clearinghouses , 4560-01 |
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CFTC Recognizes New Joint Venture Exchange for Single-Stock Futures , 4559-01 |
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CFTC Approves NFA Rules on Single-Stock Futures , 4558-01 |
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CFTC Proposes More Flexible Regulations for Intermediaries , 4557-01 |
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CFTC Final Rules Provide Notice-Designation Procedures for Securities Exchange that Plan to Trade Single-Stock Futures , 4556-01 |
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Avista Energy, Inc. Ordered to Pay $2.1 Million to Settle CFTC Charges of Manipulating Electricity Futures; Former Company Officers and Employees and NYMEX Floor Broker also Charged with Manipulation , 4555-01 |
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CFTC and SEC adopt Joint Rules and Issue Joint Order Relating to Trading of Security Futures Products in the United States , 4554-01 |
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CFTC Files Enforcement Action Charging Two Chicago Firms and Resident with a Failure to Supervise Foreign Accounts; CFTC Files Complaint Against Excellent USA And John Gallwas and Accepts Settlement Offer From LFG , 4553-01 |
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CFTC Settles Fraud Action Against COMEX Floor Broker Vincent Coppola , 4552-01 |
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CFTC Files Enforcement Actions Against Los Angeles-Based Firms Selling Illegal Foreign Currency (FOREX) Investments to the Retail Public; Acro Information Service, Inc., Pakco Holdings Limited and Dr. Florentius Chan Charged with Committing Fraud; Acro's Customers were Members of Asian and Other Ethnic Communities; In the Second Action, Fintrex, Inc., Arman Ovsepyan, and Lytresse Fox Are Charged with Offering Illegal Off-Exchange Forex Futures Contracts , 4551-01 |
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CFTC Adopts First Set of Final Rules on Single-Stock Futures , 4550-01 |
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CFTC Charges Maryland Man and His Company With Defrauding 600 Investors in a Commodity Pool; CFTC Alleges That Defendants Peter Scott and R&W Capital Management, Inc. Fraudulently Solicited Over $2 Million from Investors and Misappropriated Investor Funds For Personal Use , 4549-01 |
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CFTC Releases Market Surveillance Rule Enforcement Review of the Chicago Board of Trade , 4548-01 |
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CFTC Kicks Off Implementation of the Commodity Futures Modernization Act by Adopting New Rules for Exchanges , 4547-01 |
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CFTC's Global Markets Advisory Committee to Meet on August 1, 2001 , 4546-01 |
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CFTC Charges Chicago Area Residents with Fraudulent Promotion of Pork Belly Trading System; According to the Complaint, a Year's Worth of Service Cost $4,500 and Ads Touted that Customers Could Have Made as Much as 700% , Release 4545-01 |
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Colorado Man Sued for Failing to Tell Customers His Commodity Trading System was Based on Hypothetical Trades; Gramalegui Made False Claims that his Mother Profitably Traded with His System , Release 4544-01 |
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CFTC Files and Settles Enforcement Action Against a Chicago Floor Broker for Failing to Supervise a Trader He Sponsored; CFTC Finds that Michael Thomas Lee Violated an Order and Sponsor Agreement and Suspends His Registration; Order Underscores Need For Sponsors To Take Duties Seriously , Release 4543-01 |
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Former Member of New York Futures Exchange Charged with Price Manipulation and False Representations; CFTC Charges Norman Eisler and First West Trading with Manipulating Settlement Prices of Option Contract and Making False Representations , 4542-01 |
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CFTC Requests Comments on Its Proposed Rule to Restrict Dual Trading in Security Futures Products , 4541-01 |
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CFTC Approves First New Derivatives Clearing Organization , 4540-01 |
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Minnesota and Wisconsin Defendants Barred from U.S. Futures Markets by Federal Court for Commodity Scam; Two Individuals and Three Companies Must Pay Up to $561,452 in Restitution and Up to $671,452 in Civil Fines , 4539-01 |
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CFTC Settles Case Against Commodity Firm for Fraudulent Advertising; Federal Regulator Finds that CTS Financial Publishing and Others Used Over One Million Mailings and the Internet to Fraudulently Tout the Potential for Large Profits , 4538-01 |
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CFTC Settles Case Against Kentucky Man For Fraudulently Selling Commodity Trading System; Federal Regulator Finds that Donald M. Fishback, Jr. Represented to Investors that his Company's Trading System Could "Virtually Eliminate Losing Trades", , 4537-01 |
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CFTC Files and Settles Fraud Action Against Commodity Trader Who Claimed to Make "A Killing," , 4536-01 |
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CFTC Participates in Second Annual International "Internet Surf" Day to Uncover Fraudulent Promotion of Commodity Schemes, , 4535-01 |
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CFTC and SEC Extend Comment Period for Jointly Proposed Rules , 4534-01 |
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CFTC Files Action Against California Resident for Violating Exchange Trading Limits; CFTC Alleges that Andy Saberi Violated the Trading Limits For Pork Belly Futures Set by the Chicago Mercantile Exchange , 4533-01 |
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CFTC and Capital Market Board of Turkey Sign Memorandum of Understanding , 4532-01 |
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CFTC Requests Comments for Intermediaries Study , 4531-01 |
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CFTC Issues Order Concerning Treatment of Customer Funds Held in Connection with Products Traded on MEFF and Cleared by CME , 4530-01 |
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Maine Resident Charged with Defrauding Over 200 Investors; CFTC Alleges that Edward W. Knipping and Time Traders, Inc. Fraudulently Operated a $5.9 Million Commodity Pool and Misappropriated Investor Funds , 4529-01 |
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Ohio Commodity Companies Charged with Offering Phony Investments; CFTC Alleges that Two Ohio Firms-- International Monetary Group, Inc. and Currency Management Group, Inc.--and Three Ohio Residents - Anthony Dellarciprete, Emido Dellarciprete, and James Lemmon -- Fraudulently Solicited the Retail Public to Invest in Illegal Foreign Currency Options (FOREX) , 4528-01 |
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CFTC Charges Florida Commodity Firm with Fraud; CFTC Alleges That First Investors Group of the Palm Beaches Used Fraudulent Infomercial and Sales Pitches To Solicit Customers , 4527-01 |
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CFTC Designates Brokertec Futures Exchange as a Contract Market and Brokertec Clearing Corporation as a Registered Derivatives Clearing Organization , 4526-01 |
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CFTC Staff Allows MEFF Renta Variable's Futures Contracts Based on the S&P Euro Index and the S&P Europe 350 Index to be Offered and Sold in the United States , 4525-01 |
