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CFTC’s Division of Market Oversight Issues Time-Limited Extension of No-Action Relief Regarding Masking of Certain Identifying Information Required to be Reported , 7101-15 |
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Federal Court in Florida Enters Order Freezing Assets in CFTC Foreign Currency Anti-Fraud Action against Allied Markets LLC and its Principals Joshua Gilliland and Chawalit Wongkhiao , 7100-15 |
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CFTC Staff Issues No-Action Relief to a Swap Dealer from Certain Chief Compliance Officer Reporting Line Requirements under Commission Regulations , 7099-15 |
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CFTC Provides Notice and Clarification of the Reopened Comment Period for its Rulemaking Proposals on Position Limits for Physical Commodity Derivatives and Aggregation , 7098-15 |
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Federal Court Orders North Carolina Resident Edwin A. Vasquez and His Company, Vasquez Global Investments, LLC, to Pay over $1.3 Million for Commodity Pool Fraud , 7097-14 |
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CFTC Staff Issues Extension of Time-Limited No-Action Relief for Futures Commission Merchants from Requirement to Obtain an Acknowledgement Letter from Certain Depositories , 7096-14 |
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Federal Court in New York Orders MF Global Holdings Ltd. to Pay $1.212 Billion in Restitution for Unlawful Use of Customer Funds and Imposes a $100 Million Penalty , 7095-14 |
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CFTC Staff Extends Time-Limited No-Action Relief to Eurex Clearing and its U.S. Clearing Members , 7094-14 |
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South Carolina Federal Court Enters Judgment against Robert Stanley Harrison for Commodity Pool Fraud , 7093-14 |
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CFTC Staff Extends Time-Limited No-Action Relief to Japan Securities Clearing Corporation and Its Qualifying Clearing Participants and Affiliates , 7092-14 |
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Federal Court in Texas Orders Dallas-based Steven Lyn Scott to Pay $766,625.30 in Restitution and a $700,000 Penalty to Settle Charges of Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 7091-14 |
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CFTC Staff Issues Advisory and Time-Limited No-Action Position Regarding the CCO Annual Report , 7090-14 |
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CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures , 7089-14 |
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CFTC’s Global Markets Advisory Subcommittee on Foreign Exchange Markets Submits Report , 7088-14 |
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CFTC Staff Issues No-Action Letter Providing Relief to Entities Operating Insurance-Linked Securities Issuers , 7087-14 |
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Federal Court Orders Royal Bank of Canada to Pay $35 Million Penalty for Illegal Wash Sales, Fictitious Sales, and Noncompetitive Transactions , 7086-14 |
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CFTC Revokes Registrations of Illinois Resident Aleks A. Kins and Chicago-based AlphaMetrix, LLC , 7085-14 |
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CFTC Staff Issues Extensions of No-Action Relief to Four Foreign Clearing Organizations , 7084-14 |
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Federal Court Orders Commodity Pool Operator and Commodity Trading Advisor AlphaMetrix, LLC to Pay $5.6 Million in Restitution and Penalties , 7083-14 |
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CFTC Approves LCH.Clearnet Ltd’s Amended Order of Registration as a Derivatives Clearing Organization , 7082-14 |
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CFTC Announces Departure of DSIO Director Gary Barnett , 7081-14 |
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Federal Court Orders Missouri Resident Daniel K. Steele and His Missouri Company, Champion Management International, LLC, to Pay over $2.5 Million in Monetary Sanction , 7080-14 |
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CFTC Staff Issues Time-Limited No-Action Relief from Certain Recordkeeping Requirements under Commission Regulation 1.35(a) , 7079-14 |
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CFTC Requests Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility , 7078-14 |
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CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay a $600,000 Penalty for Series of Minimum Net Capital Deficits, Untimely Notice, and a Failure to Supervise , 7077-14 |
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Federal Court Orders More than $1.3 Million in Sanctions and Enters a Default Judgment Order against Florida-Based Gold Distributors, Inc. and Its Owner, Jordan Cain, for Engaging in Illegal, Off-Exchange Commodity Transactions , 7076-14 |
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CFTC Announces Agenda for Upcoming Agricultural Advisory Committee Meeting , 7075-14 |
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Paul Greenwood Sentenced to 10 Years in Federal Prison for Billion-Dollar Investment Scam , 7074-14 |
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CFTC Orders Pennsylvania Resident Christopher A. Engel and Pinnacle Forex Group LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $819,000 for Engaging in Commodity Pool Fraud and Misappropriation , 7073-14 |
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CFTC to Reopen Comment Period for Position Limit Rulemaking , 7072-14 |
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CFTC Staff Provides No-Action Relief from the Clearing Requirement for Swaps Entered into by Eligible Treasury Affiliates , 7071-14 |
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CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws , 7070-14 |
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CFTC Seeks to Revoke the Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wilkins’ Related Criminal Conviction , 7069-14 |
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CFTC Staff Issues No Action Relief for Family Offices from Commodity Trading Advisor Registration , 7068-14 |
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CFTC Charges California Resident Thomas Gillons with Fraud and Acting as an Unregistered Futures Commission Merchant , 7067-14 |
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CFTC DMO Issues Rule Enforcement Reviews of the Chicago Board of Trade, Chicago Mercantile Exchange, Commodity Exchange, Inc. and New York Mercantile Exchange, Inc. , 7066-14 |
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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 and Switzerland , 7065-14 |
