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CFTC’s Division of Market Oversight Extends Existing Relief and Provides Additional Relief for Reporting Parties from Reporting Obligations as Required by the OCR Final Rule , 7617-17 |
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CFTC Orders Citibank, N.A. and London-based Citigroup Global Markets Limited to Pay a $550,000 Penalty for Swap Data Reporting Violations Involving Legal Entity Identifier Information and Related Supervision Failures , 7616-17 |
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CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to Settle Charges of Supervision Failures and Recordkeeping Violations , 7615-17 |
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CFTC Charges Nicholas Gelfman and Gelfman Blueprint, Inc. with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Bitcoin Ponzi Scheme , 7614-17 |
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CFTC Chairman Giancarlo Appoints Matthew B. Kulkin as Director of the Division of Swap Dealer and Intermediary Oversight , 7613-17 |
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CFTC’s Office of Data and Technology Improves Online Filing Portal for CFTC Form 40 , 7612-17 |
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Commissioner Quintenz Named Sponsor of the Technology Advisory Committee , 7611-17 |
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Rostin Behnam Sworn In as a Commissioner of the CFTC , 7610-17 |
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CFTC Charges Monex Deposit Company, its Affiliates, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 7609-17 |
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CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a $150,000 Civil Monetary Penalty for Registration Violations , 7608-17 |
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Commissioner Quintenz Names Kevin Webb New Chief of Staff , 7607-17 |
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CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations , 7606-17 |
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CFTC Charges South Carolina Resident Thomas Lanzana, Florida Resident Nikolay Masanko, and Their Companies Blackbox Pulse, LLC and White Cloud Mountain, LLC with Fraud, Misappropriation, and Registration Violations , 7605-17 |
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Chairman Giancarlo Appoints Bruce Tuckman CFTC’s Chief Economist , 7604-17 |
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Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action , 7603-17 |
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Brian Quintenz Sworn In as a Commissioner of the U.S. Commodity Futures Trading Commission , 7602-17 |
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CFTC Orders Aruba-based Copersucar Trading A.V.V. to Pay a $300,000 Penalty for Executing Wash Trades on ICE , 7601-17 |
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CFTC Staff Grants Relief to Market Participants from Certain Position Aggregation Requirements , 7600-17 |
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CFTC Vacates DCO Registration of CME Clearing Europe , 7599-17 |
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CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures , 7598-17 |
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New Podcast "CFTC Talks” Launched Today , 7597-17 |
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U.S. Senate Unanimously Confirms Giancarlo as Chairman, Quintenz and Behnam as Commissioners , 7596-17 |
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CFTC Releases Rule Enforcement Review of the North American Derivatives Exchange , 7595-17 |
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CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures Markets , 7594-17 |
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CFTC Staff Extends Time-Limited No-Action Relief on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 7593-17 |
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CFTC Grants DCO Registration to LedgerX LLC , 7592-17 |
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CFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay Restitution and Penalties Totaling More than $493,000 for Commodity Pool Fraud , 7591-17 |
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CFTC Charges California Resident Jason B. Scharf, His Worldwide Web of Companies, and Florida-Based Affiliate Marketers Michael Shah and Zilmil, Inc. with $16 Million Binary Options Fraud Scheme , 7590-17 |
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Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their Company Assurance Capital Management, LLC to Pay More than $2.4 Million in Restitution and Civil Monetary Penalties for Commodity Pool Fraud and Misappropriation , 7589-17 |
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CFTC Charges New York Resident Daniel Winston LaMarco and His Company, GDLogix Inc., with Fraud in Connection with Foreign Currency Derivatives Commodity Pool Scheme and Registration Violations , 7588-17 |
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CFTC Acting Chairman Giancarlo Appoints Daniel Gorfine as LabCFTC Director and Chief Innovation Officer , 7587-17 |
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CFTC Launches New Video Series Featuring Fraud Victims , 7586-17 |
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Division of Market Oversight Announces Review of Swaps Reporting Regulations , 7585-17 |
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CFTC Grants SEF Registration to LedgerX LLC , 7584-17 |
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CFTC’s DMO and DCR Issue Conditional No-Action Relief from Reporting Fully Margined/Collateralized Binary Option and Spread Contract Data to Swap Data Repositories , 7583-17 |
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CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees , 7582-17 |
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CFTC Enters into Non-Prosecution Agreements with Former Citigroup Global Markets Inc. Traders Jeremy Lao, Daniel Liao, and Shlomo Salant , 7581-17 |
