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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 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to GTX SEF LLC , 6741-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions by Certain Non-U.S. Persons, for Purposes of Making Calculations Under the Swap Dealer Definition , 6740-13 |
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CFTC’s Division of Market Oversight Provides No-Action Relief to Applicant Seeking Temporary Registration as a Swap Execution Facility , 6739-13 |
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CFTC Announcement Concerning Commitments of Trader and Cotton on Call Reports , 6738-13 |
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CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibition on Manipulative Conduct In Connection with “London Whale” Swaps Trades , 6737-13 |
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CFTC Announces Gretchen L. Lowe as Acting Director of Division of Enforcement , 6736-13 |
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CFTC Announces Departure of Enforcement Director David Meister , 6735-13 |
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CFTC’s Division of Market Oversight Issues an Amendment to Previously Issued Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Certain Swap Data Reporting Requirements of Parts 43 and 45 of the Commission’s Regulation , 6734-13 |
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CFTC’s Division of Clearing and Risk and Division of Market Oversight Provide Time-Limited No-Action Relief for (1) Futures Commission Merchants from Requirement to Comply with Commission Regulations 1.73(a)(2)(i) and (a)(2)(ii); and (2) Temporarily Regis , 6733-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio , 6732-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief for Swap Execution Facilities and Designated Contract Markets from the One Business Day Product Review Period Requirement of Commission Regulation 40.2(a)(2) for Newly-Listed Swap , 6731-13 |
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CFTC Issues Order Relating to the Continuation, Shutdown and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations , 6730-13 |
