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CFTC’s Division of Market Oversight Provides Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6804-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Certain Requirements of Part 45 and Part 46 of the Commission’s Regulations, for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada , 6803-13 |
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CFTC Approves Comparability Determinations for Six Jurisdictions for Substituted Compliance Purposes , 6802-13 |
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CFTC Approves Limited-Purpose Swap Dealer Designation for State Street Bank and Trust Company , 6801-13 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Letter for Singapore Exchange Derivatives Clearing Limited and Its Clearing Members , 6800-13 |
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CFTC Staff Issues an Extension of a Time-Limited No-Action Relief to Japan Securities Clearing Corporation and Its Qualifying Participants and Affiliates , 6799-13 |
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Federal Court in New York Orders Defendant David M. Nunn to Pay a $600,000 Civil Monetary Penalty for Engaging in an Illegal Coffee Futures Trading Scheme and Making False Statements to ICE Futures U.S. , 6798-13 |
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Federal Court in Florida Orders More than $8 Million in Sanctions against Defendants Philip Leon and Paul Rangel for Commodity Pool Fraud and Misappropriation , 6797-13 |
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CFTC Grants LCH.Clearnet SA Registration as a Derivatives Clearing Organization , 6796-13 |
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CFTC Names Mark P. Wetjen Acting Chairman of the Commission , 6795-13 |
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CFTC Announces Sayee Srinivasan as the Acting Chief Economist , 6794-13 |
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CFTC Orders David R. Lynch to Pay More than $470,000 in Restitution and a Civil Monetary Penalty to Settle Charges of Fraudulent Misappropriation, Fraudulent Solicitations, and False Statements , 6793-13 |
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Mark Wetjen Appointed Sponsor of CFTC’s Global Markets Advisory Committee , 6792-13 |
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CFTC Charges Direct Investment Products, Inc. and Its Principal, Alexander Glytenko, with Commodity Pool Fraud and Misappropriation , 6791-13 |
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Agencies Issue Final Rules Implementing the Volcker Rule , 6790-13 |
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CFTC Meeting Scheduled for December 10, 2013, Has Been Cancelled , 6789-13 |
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CFTC Seeks Public Comment on Certification from Bloomberg SEF LLC to Implement Available-to-Trade Determinations for Certain Interest Rate and Credit Default Swaps , 6788-13 |
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Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud , 6787-13 |
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Federal Court Orders Defendants Arista LLC, Abdul Sultan Walji, and Reniero Francisco, All of Southern California, to Pay over $22 Million in Restitution and Fines for Commodity Pool Fraud and Making False Statements to the CFTC , 6786-13 |
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CFTC to Hold an Open Meeting to Consider Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds , 6785-13 |
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Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud , 6784-13 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6783-13 |
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Federal Court in Connecticut Orders Feisal Sharif to Pay over $3 Million to Settle Fraud Charges in CFTC Action , 6782-13 |
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Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 6781-13 |
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CFTC Announces Weekly Swaps Report , 6780-13 |
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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 |
