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The Commodity Futures Trading Commission’s Division of Market Oversight Announces Trade Execution Mandate for Certain Credit Default Swaps and Additional Interest Rate Swaps , 6841-14 |
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CFTC Announces Rescheduled Public Meeting of the Technology Advisory Committee , 6840-14 |
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Federal Court Orders California Defendants CTI Group, LLC, Cooper Trading, Stephen Craig Symons, and James David Kline to Pay Over $29 Million in Disgorgement and Fines for Fraudulent Sale of Automated Trading Systems , 6839-14 |
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The Commodity Futures Trading Commission’s Division of Market Oversight Announces Trade Execution Mandate for Additional Interest Rate Swaps , 6838-14 |
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CFTC to Form an Interdivisional Working Group to Review Regulatory Reporting , 6837-14 |
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CFTC Announces Public Meeting of the Technology Advisory Committee, Has Been Cancelled , 6836-14 |
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CFTC Reopens Comment Period for Concept Release on Risk Controls and System Safeguards for Automated Trading Environments , 6835-14 |
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CFTC Approves Application of BSDR LLC for Provisional Registration as a Swap Data Repository , 6834-14 |
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CFTC Staff Issues Exemptive and Interpretative Letters to Nadex and Commission Amends Nadex Derivatives Clearing Organization Registration Order , 6833-14 |
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CFTC Announces Start of Regularly Scheduled Staff Calls on OCR Implementation , 6832-14 |
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The Commodity Futures Trading Commission Staff Announces Trade Execution Mandate for Certain Interest Rate Swaps , 6831-14 |
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CFTC Expands Portal Capabilities to Make Public Submissions More Efficient and Secure , 6830-14 |
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CFTC Announces Agenda for the Public Meeting of the Technology Advisory Committee , 6829-14 |
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Federal Court in Texas Orders $1.5 Million in Sanctions against Defendant Mark E. Rice for Fraudulent Forex Scheme , 6828-14 |
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CFTC Orders Multigrain SA and Agricola Xingu SA to Pay $500,000 for Call Cotton Reporting Violations , 6827-14 |
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Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities , 6826-14 |
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Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to Pay $50,000 to Settle Record-Keeping Violation Action , 6825-14 |
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CFTC Charges Florida-Based Vertical Integration Group LLC and Its Owners, Richard V. Morello and Junior Alexis, with Engaging in Illegal, Off-exchange Commodity Transactions , 6824-14 |
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CFTC Staff Issues No-Action Relief from the Limitation on the Holding of Customer Funds Outside of the United States under Regulation 30.7(c) , 6823-14 |
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CFTC Issues Time-Limited No-Action Relief from Compliance with Certain Conditions Associated with the Receipt of Customer Funds by Futures Commission Merchants , 6822-14 |
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CFTC Extends Public Comment Period on Proposed Amendment to Aggregation Policy Under Part 150 , 6821-14 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6820-14 |
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CFTC Acting Chairman Mark Wetjen Names Joseph Cisewski and Scott Reinhart as Co-Chiefs of Staff and Co-Chief Operating Officers , 6819-14 |
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CFTC Staff Issues Extension to Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6818-14 |
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CFTC Approves Request for Comment on Application of Commission Regulations to U.S. Activities of Non-U.S. Swap Dealers , 6817-14 |
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FERC, CFTC Sign MOUs on Jurisdiction and Information Sharing , 6816-14 |
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CFTC Orders President of a Russian Bank, Artem Obolensky, to Pay $250,000 Penalty to Settle Charges of Making False Statements to the CFTC During an Investigation , 6815-14 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process , 6814-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants, Swap Dealers, and Major Swap Participants Concerning Annual Reports of Chief Compliance Officers , 6813-13 |
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CFTC Grants Singapore Exchange Derivatives Clearing Ltd. Registration as a Derivatives Clearing Organization , 6812-13 |
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U.S. Commodity Futures Trading Commission and Monetary Authority of Singapore Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 6811-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Introducing Brokers’ Compliance with Certain Financial Reporting and Capital Computation Requirements , 6810-13 |
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CFTC’s Division of Market Oversight Provides Conditional No-Action Relief from Limitations on Execution Methods for Required Transactions that Involve Basis Risk Mitigation Services Provided by a SEF , 6809-3 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding Swaps Entered Into by Persons Registered as Floor Traders , 6808-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Advisory Concerning Commodity Trading Advisors and Swaps , 6807-13 |
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CFTC Staff Issues Time-Limited No-Action Letter from Certain Entity-Level Internal Business Conduct Requirements for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan, and Switzerla , 6806-13 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Swap Execution Facilities , 6805-13 |
