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CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. and Bharat Adatia in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6729-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6728-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief for Temporarily Registered Swap Execution Facilities from Commission Regulation 37.6(b) for Non-Cleared Swaps , 6727-13 |
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CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts , 6726-13 |
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FXDirectDealer, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6725-13 |
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CFTC Charges Registered COMEX Floor Broker Dominick Anthony Cognata with Failing to Produce Required Documents in Response to a CFTC Subpoena and Seeks to Revoke His Registration , 6724-13 |
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CFTC Charges TOTE Fund LLC, MJS Capital Management LLC and their Principal, Michael J. Siegel with Commodity Pool Fraud , 6723-13 |
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CFTC Staff Responds to Frequently Asked Questions on Commodity Options , 6722-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Temporarily Registered SEFs from any Enforcement Responsibilities under Commission Regulations 37.200(a), 37.200(b), 37.201(b)(1), 37.201(b)(3), 37.201(b)(5), 37.202(b) and 37.2 , 6721-13 |
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CFTC’s Division of Market Oversight Issues 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 Regulations , 6719-13 |
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CFTC Designates Nodal Exchange, LLC as a Contract Market and CFTC’s Division of Market Oversight and Division of Clearing and Risk Issue Related Time Limited No-Action Letters , 6718-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to Thomson Reuters (SEF) LLC and ICAP SEF (US) LLC , 6717-13 |
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CFTC Charges Ethanol Trader John Aaron Brooks with Fraud for Scheming to Conceal Trading Losses , 6716-13 |
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CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 for Violation of Customer Protection Regulation , 6715-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $525,000 Penalty for Violations of Customer Fund Segregation Requirements, Failure to Notify the CFTC of its Under-Segregation, and Misstatements to the CFTC , 6714-13 |
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CFTC Charges New York-Based The Yorkshire Group Inc. and Its Owner, Scott Platto with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 6713-13 |
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CFTC Files Enforcement Action Charging Missouri Resident Daniel K. Steele and His Foreign Currency Firm with Violations of the Commodity Exchange Act and Forex Regulations , 6712-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, for Making False Statements to the NFA and Failing to Meet Minimum Financial Requirements , 6711-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to tpSEF Inc. and Tradition SEF, Inc. , 6710-13 |
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CFTC Closes Investigation Concerning the Silver Markets , 6709-13 |
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CFTC Charges ICAP Europe Limited, a Subsidiary of ICAP plc, with Manipulation and Attempted Manipulation of Yen Libor , 6708-13 |
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CFTC Issues Order of Temporary Registration as a Swap Execution Facility to INFX SEF Inc. , 6707-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $140,000 Civil Monetary Penalty for Failing to Diligently Supervise its Employees , 6706-13 |
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CFTC Orders Florida Company Newbridge Metals, LLC to Pay over $1.5 Million in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6705-13 |
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CFTC Certifies Futures Contract on S&P BSE 100 Index Submitted by BSE Ltd (BSE) , 6704-13 |
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CFTC’s Division of Clearing and Risk Issues Time Limited No-Action Letter for LCH.Clearnet Ltd and its Clearing Members , 6703-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to 360 Trading Networks Inc. , 6702-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to trueEX, LLC and ICE Swap Trade, LLC , 6701-13 |
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CFTC Orders Foremost Trading LLC, an Introducing Broker, to Pay $400,000 for Supervision Violations , 6700-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to Javelin SEF, LLC and BGC Derivative Markets, L.P. , 6699-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to TeraExchange, LLC , 6698-13 |
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CFTC Orders FXDirectDealer, LLC to Pay $2.74 Million for Supervision Failures Relating to Trading Platform , 6697-13 |
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CFTC Seeks Public Comment on Request from CME Group to Amend Rule 538 (Exchange for Related Positions) , 6696-13 |
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CFTC Certifies Futures Contracts on the CES China 120 Index and the HSI Volatility Index Submitted by Hong Kong Futures Exchange Limited (HKFE) , 6695-13 |
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CFTC Announces Vincent A. McGonagle as Director of the Division of Market Oversight , 6694-13 |
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CFTC Orders Futures Broker Employee Susan Butterfield to Pay $50,000 Penalty in Settlement of Charges of Making False Statements to the CFTC During Her Investigative Testimony , 6693-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation , 6692-13 |
