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Federal Court Sanctions David Prescott for Forex Pool Fraud , 6779-13 |
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CFTC Releases Rule Enforcement Review of North American Derivatives Exchange Inc. , 6778-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to LatAm SEF, LLC , 6777-13 |
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Federal Court in New York Orders MF Global Inc. to Pay over $1 Billion in Restitution to Customers of MF Global Inc. , 6776-13 |
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CFTC’s Division of Market Oversight Issues New Guidance on the Application of Certain Commission Regulations to Swap Execution Facilities , 6775-13 |
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CFTC Issues Final Rules for Derivatives Clearing Organizations to Align with International Standards , 6773-13 |
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CFTC’s Divisions of Clearing and Risk, Market Oversight and Swap Dealer and Intermediary Oversight Issue Guidance on the Application of Certain Commission Regulations to Swap Execution Facilities , 6772-13 |
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CFTC Staff Issues Advisory on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6771-13 |
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Federal Court in California Orders Thomas B. Breen, a Principal of National Equity Holdings, Inc., to Pay $1.75 million to Settle Fraud Charges in CFTC Action , 6770-13 |
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Federal Court in Massachusetts Orders Lyndon Parrilla to Pay over $17 Million in Disgorgement, Restitution, and a Penalty in Forex Fraud Scheme , 6769-13 |
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CFTC Seeks Public Comment on Amended Request from CME Group to Amend Rule 538 (Exchange for Related Positions) , 6768-13 |
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CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, AlphaMetrix, LLC, Alleging Misappropriation of Pool Funds and Sending False or Misleading Statements , 6767-13 |
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CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation , 6766-13 |
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CFTC Issues Proposed Rule to Require All Registered Introducing Brokers, Commodity Pool Operators, and Commodity Trading Advisors to Become and Remain Members of a Registered Futures Association , 6765-13 |
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CFTC Charges Illinois Resident, CME Floor Broker and Trader James C. Yadgir with Violating Live and Feeder Cattle Futures Speculative Position Limits , 6764-13 |
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CFTC Approves Position Limits Proposals , 6763-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to Chicago Mercantile Exchange Inc. , 6762-13 |
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CFTC’s Division of Market Oversight Issues Extension of Certain Time-Limited No-Action Relief Regarding Swap Execution Facilities Provided by CFTC No-Action Letter Nos. 13-55 (amended), 13-56 and 13-58 for Swaps in the Foreign Exchange Asset Class , 6761-13 |
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CFTC Extending Period for Accepting Public Comment on Certification from Javelin SEF, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6760-13 |
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CFTC Seeks Public Comment on Certification from MarketAxess SEF Corporation to Implement Available-to-Trade Determinations for Certain Credit Default Swaps , 6759-13 |
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CFTC Announces Mutual Acceptance of Approved Legal Entity Identifiers , 6758-13 |
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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6757-13 |
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CFTC Approves Limited Purpose Swap Dealer Designations for Cargill and an Affiliate , 6756-13 |
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CFTC Seeks Public Comment on Certification from TW SEF LLC to Implement Available-to-Trade Determinations for Certain Interest Rate and Credit Default Swaps , 6755-13 |
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Federal Court Orders California Man Jeffrey Gustaveson to Pay over $1.6 Million for Fraud Misappropriation, and False Account Statements in Commodity Pool Scheme , 6754-13 |
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Federal Court Orders Louis J. Giddens, Jr., Anthony W. Dutton, and Michael Gomez to Pay Combined Restitution and Penalties of over $400,000 for Foreign Exchange Currency Scheme , 6753-13 |
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Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor , 6752-13 |
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CFTC Requests Public Comment on an Application by Singapore Exchange Derivatives Clearing Limited for Registration as a Derivatives Clearing Organization , 6751-13 |
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CFTC’s Division of Clearing and Risk and Division of Market Oversight Provide Time-Limited No-Action Relief for swap execution facilities (“SEFs”) from compliance with certain requirements of Commission Regulations 37.9(a)(2) and 37.203(a) , 6750-13 |
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CFTC Releases Enforcement Division’s Annual Results , 6749-13 |
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CFTC Announces that the Third Phase of Mandatory Clearing of iTraxx CDS Indices Begins Today and Reminds Market Participants that Cross-Border Exemptive Relief Expired on October 9, 2013 , 6748-13 |
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CFTC Will Hold an Open Meeting to Consider Proposals on Position Limits and Other Business , 6747-13 |
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CFTC Will Hold an Open Meeting to Consider Enhancing Protections for Futures Customers and Other Business , 6746-13 |
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CFTC Announces Schedule for Publication of Reports Delayed by the Government Shutdown , 6745-13 |
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CFTC Adopts Rule Amendment to Clarify that Prohibition against Swap Dealers and Major Swap Participants Associating with Persons Who Are Statutorily Disqualified Does Not Apply in the Case of Clerical and Ministerial Employees , 6744-13 |
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CFTC Seeks Public Comment on Certification from trueEX, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6743-13 |
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CFTC Seeks Public Comment on Certification from Javelin SEF, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6742-13 |