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CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme , 7506-16 |
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CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7505-16 |
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Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges , 7504-16 |
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CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme , 7503-16 |
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CFTC Staff Issues Time-Limited No-Action Relief for Derivatives Clearing Organizations and Other Reporting Entities from Certain Obligations on Cleared Swap Reporting , 7502-16 |
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CFTC Staff Issues Time-Limited No-Action Relief for Entities Submitting Swaps for Clearing with Derivatives Clearing Organizations Acting under Exemptive Orders or No-Action Relief , 7501-16 |
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool , 7500-16 |
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CFTC Staff Issues No-Action Relief from the Inter-Affiliate Exemption from Required Clearing for Affiliated Counterparties Located in Australia or Mexico , 7499-16 |
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Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud , 7498-16 |
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CFTC Releases Rule Enforcement Review of ICE Futures U.S. , 7497-16 |
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions , 7496-16 |
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CFTC Reproposes Position Limits Rule , 7495-16 |
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CFTC Unanimously Approves Proposed Rules Establishing Swap Dealer and Major Swap Participant Capital Requirements , 7494-16 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Relating to the Use of a Consolidated Risk Disclosure Statement for Non-institutional Customers , 7493-16 |
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CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme , 7492-16 |
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CFTC Grants CME Clearing Europe Registration as a Derivatives Clearing Organization , 7491-16 |
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CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties , 7490-16 |
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CFTC Staff Issues Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland , 7489-16 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2016 , 7488-16 |
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CFTC Unanimously Approves Final Rule Amendments to its Regulations Regarding CPO Financial Reports , 7487-16 |
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Federal Court in Chicago Orders U.K. Resident Navinder Singh Sarao to Pay More than $38 Million in Monetary Sanctions for Price Manipulation and Spoofing , 7486-16 |
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Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 Million from Members of the Public to Trade Forex, without Being Registered with the CFTC , 7485-16 |
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CFTC Division of Market Oversight Reminds Market Participants of the Upcoming Expiration of Certain No-Action Relief from the Ownership and Control Final Rule , 7484-16 |
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CFTC Staff Issues Results of Supervisory Stress Test of Clearinghouses , 7483-16 |
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CFTC Approves Final Rule Amending the Timing for Filing Chief Compliance Officer Annual Reports by Certain Registrants , 7482-16 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for November 17 Public Meeting , 7481-16 |
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CFTC Submits Proposed Consent Order to Federal Court in Chicago that Would Resolve the CFTC’s Price Manipulation and Spoofing Action against U.K. Resident Navinder Singh Sarao , 7480-16 |
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CFTC Approves Supplemental Proposal to Automated Trading Regulation , 7479-16 |
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CFTC and Canadian Authority Sign Counterpart to Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7478-16 |
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CFTC’s Market Risk Advisory Committee to Meet on November 17, 2016 , 7477-16 |
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CFTC Further Implements Trade Execution Requirement , 7476-16 |
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CFTC Issues Orders of Registration to Five Foreign Boards of Trade to Permit Trading by Direct Access from the U.S. , 7475-16 |
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CFTC to Hold an Open Commission Meeting on November 4th to Consider a Supplemental Proposal to Automated Trading Regulation , 7474-16 |
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Federal Court Orders Scott Platto and His Company The Yorkshire Group, Inc. to Pay More Than $1.56 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7473-16 |
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CFTC Issues Final Order to Exempt Certain Specified Transactions of Southwest Power Pool and Amendment to the 2013 Final Order Regarding RTOs and ISOs , 7472-16 |
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Commission Approves an Order Regarding Swap Dealer Registration De Minimis Exception , 7471-16 |
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CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange, Inc. and the Commodity Exchange, Inc. , 7470-16 |
