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CFTC Orders Registrant to Pay $1.25 Million for Fraud, Unauthorized Trading, and Violating Speculative Position Limits in Live Cattle Futures , 8002-19 |
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CFTC to Hold an Open Commission Meeting on September 16 , 8001-19 |
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SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies , 8000-19 |
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CFTC Commissioner Behnam Announces Agenda for the September 9 Market Risk Advisory Committee Public Meeting , 7999-19 |
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CFTC Commissioner Dan M. Berkovitz Seeks EEMAC Associate Member Nominations and Public Comment on Committee Priorities , 7998-19 |
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CFTC’s Market Risk Advisory Committee to Meet September 9 by Teleconference , 7997-19 |
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CFTC Charges International Enterprise with Operating a $103 Million Fraudulent Binary Options Trading Scheme , 7995-19 |
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Federal Court Orders Defendants to Pay More Than $2.7 Million in a Forex Fraud Scheme , 7994-19 |
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Chairman Tarbert Announces Additional Executive Leadership Appointments , 7993-19 |
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CFTC’s Gorfine to Depart Agency , 7992-19 |
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New CFTC Talks Episode Explores Effects of Capital Rules , 7991-19 |
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Chairman Tarbert Assumes Sponsorship of the CFTC’s Agricultural Advisory Committee , 7990-19 |
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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief from Certain Position Aggregation Requirements , 7989-19 |
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CFTC Charges Trader with Spoofing in Financial Futures Markets , 7988-19 |
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Chairman Tarbert Announces Key Executive Leadership Appointment , 7987-19 |
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ICYMI: Chairman Tarbert Lays Out Priorities in Fox Business Op-Ed , 7986-19 |
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CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations , 7985-19 |
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Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals , 7984-19 |
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In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York Banks , 7983-19 |
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CFTC Staff, in Conjunction with the Financial Crimes Enforcement Network, Clarifies the Customer Identification Program and Beneficial Ownership Obligations of Certain Introducing Brokers , 7982-19 |
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CFTC Extends Public Comment Period for Proposal to Improve Data Quality and Streamline Regulations for Swap Data Repositories , 7981-19 |
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Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Forex Fraud Scheme , 7980-19 |
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CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps , 7979-19 |
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Chairman Tarbert Announces CFTC Executive Leadership Appointments , 7978-19 |
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Chairman Tarbert Announces Key Office Appointments , 7977-19 |
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Tarbert Begins Term as 14th CFTC Chairman , 7976-19 |
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CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders , 7975-19 |
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CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees , 7974-19 |
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CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees , 7973-19 |
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CFTC Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures to Pay a $500,000 Penalty to Settle Charges of Unauthorized Options Trading, Failure to Supervise, and Other Violations , 7972-19 |
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CFTC Issues Order Finding that Korea Exchange, Inc. Made a False and Misleading Certification to the CFTC , 7971-19 |
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Maggie Sklar to Depart CFTC Chairman Giancarlo’s Office , 7970-19 |
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CFTC Commissioner Stump Announces Progress in the CFTC’s Data Protection Initiative , 7969-19 |
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The CFTC and the Japan Financial Services Agency Issued a Joint Statement Regarding the Comparability of Certain Derivatives Trading Venues in the U.S. and Japan , 7968-19 |
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CFTC Voted on Open Meeting Agenda Items , 7967-19 |
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CFTC Videocast Features Chairman Giancarlo Discussing Impact of Manufactured Credit Events in the Credit Derivatives Markets , 7966-19 |
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Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a CFTC Investigator, and Sending Forged CFTC Documents , 7965-19 |