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CFTC Issues Final Cross-Border Margin Rule , 7370-16 |
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CFTC Staff Issues Residual Interest Deadline Report , 7369-16 |
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CFTC’s Division of Market Oversight Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 7368-16 |
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CFTC Issues Proposed Amendment to the 2013 Final Order Regarding RTOs and ISOs , 7367-16 |
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CFTC Orders Chicago-based Cunningham Commodities, LLC and its Controller Salvatore Carmen Russo Jointly to Pay a $150,000 Penalty for Failing to Immediately Report a Customer Segregated Account Deficiency , 7366-16 |
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CFTC Approves Final Rule on Amendments to the Swap Portfolio Reconciliation Requirement , 7365-16 |
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CFTC and Three Canadian Authorities Sign Counterparts to MOU to Enhance Supervision of Cross-Border Regulated Entities , 7364-16 |
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CFTC Announces Additional Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents in Forex and Binary Options , 7363-16 |
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CFTC Chairman Announces Dan Rutherford as Director of the Office of Customer Education and Outreach , 7362-16 |
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CFTC Orders New York Resident Nathan Schleifer and Galileo Trading to Pay Restitution and Penalties Totaling More than $1.6 Million for Commodity Futures Fraud , 7361-16 |
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CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and Disgorgement for Aiding and Abetting Commodity Pool Fraud , 7360-16 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for April 26 Public Meeting , 7359-16 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Regarding Masking Certain Information Reportable under the OCR Final Rule , 7358-16 |
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CFTC’s Division of Market Oversight Issues Further Actions Concerning Implementation of the Ownership and Control (OCR) Final Rule , 7357-16 |
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CFTC’s 2016 SmartCheck Week to Emphasize Continual Background Checks of Financial Professionals , 7356-16 |
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CFTC Orders Staten Island-Resident Michael Pucciarelli and his Company, Badge Trading LLC, to Pay a $280,000 Penalty for Engaging in Unlawful Noncompetitive Exchange for Physical Transactions , 7355-16 |
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CFTC’s Market Risk Advisory Committee to Meet on April 26, 2016 , 7354-16 |
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Federal Court Orders UAE Residents Heet Khara and Nasim Salim to Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets , 7353-16 |
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CFTC Approves Proposed Guidance Relating to the Appropriate Treatment of Certain Electric Power and Natural Gas Contracts , 7352-16 |
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CFTC Announces Whistleblower Award of More Than $10 Million , 7351-16 |
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CFTC Charges Georgia Resident Hendrik A. Van Beuningen and His Company, DeBrink Trading Fund I, LLC, with Fraud, Misappropriation, and Registration Violations in Connection with Their Commodity Pool , 7350-16 |
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CFTC Approves a Final Rule Providing an Alternative to Fingerprinting for Foreign Natural Persons , 7349-16 |
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CFTC Charges Virginia Resident Tracy Lee Thomas and His Firm, Cayman Islands-Based Marbury Advisors Inc., with Fraudulently Soliciting over $1.2 Million in a Commodity Futures Scheme , 7348-16 |
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CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan Chase Bank, N.A. to Pay a $225,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7347-16 |
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Federal Court Orders Former Alabama Resident John David Stroud and His Companies to Pay More than $4.7 Million in Restitution and a Civil Monetary Penalty for Committing Commodity Pool Fraud and Misappropriation , 7346-16 |
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CFTC Orders Payment of Penalties Totaling $665,000 by Credit Suisse International for Violating the Speculative Position Limit for Wheat Futures and by Credit Suisse Securities (USA) LLC for Submitting False or Misleading Information to the CFTC , 7345-16 |
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CFTC and EPA Enter Into a Memorandum of Understanding , |
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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions , 7344-16 |
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CFTC Approves Final Rule to Amend the Trade Option Exemption by Eliminating Certain Reporting and Recordkeeping Requirements for End-Users , 7343-16 |
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CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU , 7342-16 |
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CFTC Charges Two Binary Options Firms with Fraud, Illegal Off-Exchange Activity, and Operating in an Unregistered Capacity , 7341-16 |
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Volcker Rule CEO Attestation Delivery Method Announced , 7340-16 |
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CFTC Staff Provides Relief in Connection with Swap Trade Confirmations , 7339-16 |
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CFTC Orders Florida-based IBFX, Inc. (f/k/a TradeStation Forex, Inc.) to Pay a $1 Mln Penalty for Failing to Meet Minimum Capital Requirements, Failing to Timely Report Minimum Net Capital Violations, Supervisory Failures & Violating a Prior CFTC Order , 7338-16 |
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CFTC Orders CHS, Inc. and CHS Hedging, LLC to Pay $1 Million for Inaccurately Reporting Positions in Corn and Soybeans , 7337-16 |
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Federal Court Orders Banc de Binary Ltd., ET Binary Options Ltd., BO Systems Ltd., BDB Services Ltd. & Oren Shabat Laurent to Pay More than $9 Mln in Restitution & a Civil Monetary Penalty for Violating the CFTC’s Ban on Off-Exchange Binary Options , 7336-16 |
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CFTC Requests Public Comment on Request from LCH.Clearnet Ltd for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts and Cleared Swaps Contracts , 7335-16 |