|
|
CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers , 7138-15 |
|
|
CFTC Approves Final Rule on Residual Interest Deadline for Futures Commission Merchants , 7137-15 |
|
|
CFTC Orders ICE Futures U.S., Inc. to Pay a $3 Million Civil Monetary Penalty for Recurring Data Reporting Violations , 7136-15 |
|
|
CFTC’s Market Risk Advisory Committee to Meet on April 2, 2015 , 7135-15 |
|
|
CFTC Solicits Public Comment in Response to the U.S. District Court Order Regarding Cross-Border Litigation , 7134-15 |
|
|
CFTC Staff Reschedules Public Roundtable on Recovery of Derivatives Clearing Organizations , 7133-15 |
|
|
CFTC Staff Postpones Today’s Scheduled Public Roundtable , 7132-15 |
|
|
CFTC Charges Michigan Resident Jerry Stauffer with Commodity Pool Fraud and Other Violations , 7131-15 |
|
|
Federal Court in New York Imposes a $26 Million Civil Monetary Penalty against Mark Evan Bloom and his Company, North Hills Management, LLC, for Commodity Pool Fraud , 7130-15 |
|
|
CFTC Staff to Hold Roundtable on Cybersecurity and System Safeguards Testing , 7129-15 |
|
|
CFTC Requests Public Comment on Application Submitted by CME Clearing Europe Limited for Registration as a Derivatives Clearing Organization , 7128-15 |
|
|
Kevin G. White Sentenced to over Eight Years in Federal Prison for $7.4 Million Commodity Pool Investment Scam , 7127-15 |
|
|
CFTC Provides Notice of the Reopened Comment Period for its Rulemaking Proposals on Position Limits for Physical Commodity Derivatives and Aggregation , 7126-15 |
|
|
CFTC Announces Agenda for the Upcoming Public Meeting of the Energy and Environmental Markets Advisory Committee , 7125-15 |
|
|
CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of Derivatives Clearing Organizations , 7124-15 |
|
|
CFTC Commissioner Sharon Y. Bowen Announces Membership of Market Risk Advisory Committee , 7123-15 |
|
|
Federal Court Orders Scott M. Ross and his Companies to Pay More than $6.7 Million in Restitution and a Civil Monetary Penalty for Defrauding Investors in His Commodity Pools, Mishandling Customer Funds, and Failing to Properly Register as a Commodity... , 7122-15 |
|
|
CFTC’s Energy and Environmental Markets Advisory Committee to Meet on February 26, 2015 , 7121-15 |
|
|
CFTC’s Division of Market Oversight Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 7120-15 |
|
|
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Electronic Reporting Requirements in the OCR Final Rule , 7119-15 |
|
|
CFTC Orders Florida Residents Isaiah Goldman and Brock Catronio and their Companies, Paramount Metals Exchange and Paramount Credit, to Pay More than $2.5 Million in Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7118-15 |
|
|
CFTC Orders Florida-Based Midwest Metals Exchange and Its Owner, Brian S. Ekasala, to Pay Restitution and a Civil Monetary Penalty Totaling More than $522,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7117-15 |
|
|
Federal Court Orders U.S. Bank National Association to Pay $18 Million to Peregrine Customers , 7116-15 |
|
|
CFTC Extends Period for Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility , 7115-15 |
|
|
CFTC Charges California Residents Christopher Valois and Cynthia Wong and Their Companies with Fraud and Registration Violations , 7114-15 |
|
|
CFTC Announces Membership of the Energy and Environmental Markets Advisory Committee , 7113-15 |
|
|
CFTC Orders Florida Resident Anthony Lauria and His Company Gold Coast Bullion, Inc. to Pay More than $9.6 Million in Restitution and a Civil Monetary Penalty in Off-Exchange Precious Metals Fraud , 7112-15 |
|
|
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief to Introducing Brokers for Certain Financial Reporting Requirements , 7111-15 |
|
|
Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Chief Compliance Officer Annual Reports to the Commission through WinJammer , 7110-15 |
|
|
CFTC Issues Order of Registration for Bursa Malaysia Derivatives Berhad , 7109-15 |
|
|
CFTC Issues Order of Registration for the Singapore Exchange Derivatives Trading Limited , 7108-15 |
|
|
Federal Court in New York Imposes a $2.16 Million Penalty and Permanent Trading Bans against Michael A. Kardonick, Gary R. Shapoff, and Atwood & James for Forex Options Fraud and Misappropriation , 7107-15 |
|
|
Federal Court Orders California-Based Defendants Bharat Adatia, Lions Wealth Holdings, Lions Wealth Services, and 20/20 Precious Metals to Pay over $5.3 Million in Monetary Sanctions for Multi-Million Dollar Fraudulent Precious Metals Scheme , 7106-15 |
|
|
CFTC Issues Order of Registration for the Tokyo Commodity Exchange, Inc. , 7105-15 |
|
|
CFTC Imposes $3 Million Penalty against Olam International, Ltd. and Olam Americas, Inc. for Violating Cocoa Position Limits and Unlawfully Executing Noncompetitive Trades , 7104-15 |
|
|
CFTC Orders Summit Energy Services, Inc. to Pay $140,000 Civil Monetary Penalty and Cease and Desist from Acting as an Unregistered Commodity Trading Advisor , 7103-15 |
|
|
CFTC Obtains Judgment against Commodity Pool Operators TOTE Fund LLC and MJS Capital Management LLC, and their Principal, Michael J. Siegel, for Commodity Pool Fraud and Other Violations , 7102-15 |
