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CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered , 8434-21 |
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CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required , 8433-21 |
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CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures , 8432-21 |
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CFTC Orders Nevada Man and His Company to Pay $374,000 for Fraudulent Solicitation and Misappropriation in Forex Scheme , 8431-21 |
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CFTC Imposes $650,000 Penalty Against Refinitiv US SEF LLC for Swap Reporting Failures , 8430-21 |
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CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures , 8429-21 |
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CFTC Orders Citibank and Citigroup Global Markets Limited to Pay a $1 Million Penalty for Swap Data Reporting Violations, Related Supervision Failures, and Violation of a prior CFTC Order , 8428-21 |
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CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation , 8427-21 |
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CFTC Charges Former Hawaii Resident in Forex and Futures Ponzi Scheme , 8426-21 |
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Federal Court Orders Florida Man to Pay $2.5 Million for Role in Fraudulent Binary Options Scheme , 8425-21 |
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CFTC Charges Texas Resident and Six U.S. and Costa Rican Companies with Engaging in Two Fraudulent Schemes Totaling $6 Million , 8424-21 |
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CFTC Files Action to Suspend Registration of Mississippi Man Based on Criminal Charges , 8423-21 |
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CFTC Staff Provides Temporary No Action Relief from Certain Financial Reporting Requirements to Bank Swap Dealers , 8422-21 |
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CFTC Staff Amends Existing Brexit-Related Relief to Provide Market Certainty , 8421-21 |
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Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC , 8420-21 |
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CFTC Orders Idaho Man to Pay $150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations , 8419-21 |
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CFTC’s Energy and Environmental Markets Advisory Committee to Meet September 15 , 8418-21 |
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Federal Court Orders Georgia Man and Two Companies to Pay Over $15.6 Million for Forex Fraud and Registration Violations , 8417-21 |
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Federal Court Orders Alabama Man to Pay More Than $16 Million in Precious Metals Fraud , 8416-21 |
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CFTC Charges Unregistered Michigan Forex Firm and its Owner with Fraud and Misappropriation , 8415-21 |
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CFTC Charges Nebraska Commodity Pool Operator and its Owner with Fraud and Regulatory Violations , 8414-21 |
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CFTC Orders Tyson Foods to Pay $1.5 Million for Position Limit, Reporting, and Recordkeeping Violations , 8413-21 |
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Federal Court Orders BitMEX to Pay $100 Million for Illegally Operating a Cryptocurrency Trading Platform and Anti-Money Laundering Violations , 8412-21 |
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Federal Court Orders Texas and Florida Men to Pay Nearly $1.75 Million in Digital Assets Scheme , 8411-21 |
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U.S. Court of Appeals Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals , 8410-21 |
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CFTC Market Risk Advisory Committee Adopts SOFR First Recommendation at Public Meeting , 8409-21 |
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Federal Court Permanently Bans and Imposes an over $300,000 Penalty Against Foreign Trading Platform for Offering Illegal Leveraged Transactions in Ether, Litecoin, Bitcoin and Precious Metals , 8408-21 |
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The Market Risk Advisory Committee Announces Agenda for July 13 Public Meeting , 8407-21 |
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Georgia Man Sanctioned for Fraudulent Scheme Attempting to Profit from COVID-19 , 8406-21 |
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ICYMI: Commissioner Quintenz in Bloomberg: Family Offices Don’t Need New Regulations , 8405-21 |
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CFTC Charges Three Individuals and Three Florida Companies with Fraud in Multimillion-Dollar Precious Metals Scheme , 8404-21 |
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The Market Risk Advisory Committee to Meet on July 13 , 8403-21 |
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CFTC Staff Issues Interpretation to Swap Dealers Regarding Calculating Capital Requirements , 8402-21 |
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CFTC Orders Three Credit Suisse Entities to Pay $1.5 Million for Swap Data Reporting Failure , 8401-21 |
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Joint Readout of Principals Meeting of UK and U.S. Authorities Regarding Central Counterparty Resolution , 8400-21 |
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CFTC Charges Texas Man and His Company with Forex Fraud , 8399-21 |
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CFTC Staff Issues Advisory to Swap Dealers Regarding the Use of Internal Models in Calculating Minimum Capital Requirements , 8398-21 |
