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ICYMI: Chairman Tarbert in WSJ: A New Pact Will Help Derivatives Markets , 8249-20 |
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Mexican Meat Processor to Pay Fine for Violating Cattle Futures Speculative Position Limits , 8248-20 |
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CFTC Finalizes Rules to Improve Swap Data Reporting, Approves Other Measures at September 17 Open Meeting , 8247-20 |
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CFTC Charges 4 Florida Men, 1 New Jersey Man, and Their Companies in $4.75 Million Forex Ponzi Scheme , 8246-20 |
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CFTC Charges Texas Man with Misappropriating Over $8.3 Million In Customer Funds , 8245-20 |
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CFTC Staff Provides No-Action Relief to Registrant from SEF Reinstatement Requirements , 8244-20 |
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Federal Court Orders Illinois Software Development Firm to Pay Penalty and Disgorgement for Aiding and Abetting Illegal Conduct , 8243-20 |
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CFTC Staff Provides Relief and Further Guidance Regarding FCM Separate Account Practices , 8242-20 |
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CFTC Charges 3 Texas Men and 1 Florida Man in Fraudulent Digital Asset Scheme , 8241-20 |
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CFTC Further Extends Certain No-Action Relief to Market Participants in Response to COVID-19 , 8240-20 |
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CFTC Awards Domestic and International Whistleblowers , 8239-20 |
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Victims of New York Ponzi Scheme Recover Over $1 Billion Following CFTC Enforcement Action , 8238-20 |
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CFTC to Hold an Open Commission Meeting on September 17 , 8237-20 |
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Agricultural Advisory Committee to Meet via Teleconference September 24 , 8236-20 |
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CFTC Issues Guidance on Factors Used in Evaluating Corporate Compliance Programs in Connection with Enforcement Matters , 8235-20 |
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CFTC’s Climate-Related Market Risk Subcommittee Releases Report , 8234-20 |
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CFTC Awards Whistleblower for Exposing Ongoing Fraud , 8233-20 |
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CFTC Charges 10 Commodity Trading Advisors for Failing to Maintain NFA Memberships , 8232-20 |
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CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme , 8231-20 |
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CFTC Approves LedgerX, LLC to Clear Fully-Collateralized Futures and Options on Futures , 8230-20 |
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CFTC Charges 20 Entities for Making False Registration Claims , 8229-20 |
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CFTC Provides Additional Relief to Market Participants Transitioning from LIBOR , 8228-20 |
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CFTC Reinstates TeraExchange, LLC as a Swap Execution Facility , 8227-20 |
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CFTC Charges Multiple Individuals and Entities in $28 Million Ponzi Scheme that Targeted Churchgoers , 8226-20 |
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CFTC Adds More Than 20 Unregistered Foreign Entities to RED List , 8225-20 |
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CFTC Orders Toronto-Based Firm to Pay $500,000 for Violating Capital, Reporting, and Supervision Rules , 8224-20 |
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LabCFTC Opens Registration for September 24 Empower Innovation 2020 Event , 8223-20 |
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CFTC Orders The Bank of Nova Scotia to Pay $50 Million for Swap Dealer Compliance and Supervision Failures and False Statements , 8222-20 |
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CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Spoofing and Making False Statements , 8221-20 |
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CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations , 8220-20 |
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CFTC Unanimously Approves Proposals Amending Margin Requirements for Swap Dealers and Major Swap Participants , 8219-20 |
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CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations , 8218-20 |
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CFTC Obtains $3.8 Million Fraud Judgment Against Commodity Pool Operator and its Owner , 8217-20 |
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NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information , 8216-20 |
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CFTC Advisory Warns Customers to Carefully Assess Precious Metals Pitches Touting CARES Act Rules , 8215-20 |
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CFTC Market Risk Advisory Committee Approves Subcommittee’s Single-Step Transition Recommendations at Public Meeting , 8214-20 |
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CFTC Awards Approximately $9 Million to Whistleblower , 8213-20 |
