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Euronext Amsterdam’s AEX-Index Mini Futures Contract and Euronext Paris’s CAC40 Index Mini Futures Contract have been Deemed Certified and may be Offered to U.S. persons through Direct Access Effective September 13, 2013 , 6691-13 |
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Federal Court Orders Alex Ekdeshman and Paramount Management, LLC, to Pay over $2.4 million in Restitution and a Fine for Fraudulent Foreign Currency Scheme , 6690-13 |
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CFTC Releases Rule Enforcement Review of ELX Futures, L.P. , 6689-13 |
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CFTC Releases Rule Enforcement Review of the Minneapolis Grain Exchange, Inc. , 6688-13 |
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CFTC Releases Rule Enforcement Review of the CBOE Futures Exchange , 6687-13 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6686-13 |
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CFTC Issues Notices of Temporary Registration as Swap Execution Facilities to TW SEF LLC and DW SEF LLC , 6685-13 |
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CFTC Announces that the Third Phase of Mandatory Clearing of Certain Credit Default Swaps and Interest Rate Swaps Begins Today , 6684-13 |
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CFTC Publishes Concept Release on Risk Controls and System Safeguards for Automated Trading Environments , 6683-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Commodity Pool Operators of Registered Funds with Controlled Foreign Corporations , 6682-13 |
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CFTC Orders Florida Resident Matthew L. Hall to Pay over $200,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6681-13 |
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CFTC Orders Florida Resident Isaac Grossman and His Company, London Metals Market LLC, to Pay over $121,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6680-13 |
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CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 Penalty for Failing to Maintain Adequate Funds in Secured Accounts in Connection with Conversion by Exchange of Certain Off-Exchange Instruments to On-Exchange Products , 6679-13 |
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OTC Derivatives Regulators Issue Report to the G20 , 6678-13 |
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Federal Court Orders Matthew Marshall Taylor to Pay $500,000 for Fraud for Fabricating and Concealing Trades from Goldman, Sachs & Co., His Former Employer, and Obstructing Their Discovery , 6677-13 |
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Federal Court in Maryland Orders Sidney J. Charles, Jr. and his Company, The Borrowing Station, LLC, to pay over $600,000 to Settle CFTC Forex Fraud Action , 6676-13 |
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CFTC Permanently Bars Accountant, Jeannie Veraja-Snelling, for Failing to Properly Audit Peregrine Financial Group, Inc. , 6675-13 |
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Velocity Futures, LLC Agrees to Pay a $300,000 Penalty to Settle Charges that It Failed to Comply with Its Minimum Financial Requirements , 6674-13 |
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CFTC Issues Interpretation Concerning Retail Commodity Transactions , 6673-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding Regulation 23.502 for Swap Dealers and Major Swap Participants in Connection with Swaps Subject to Risk Mitigation Techniques under EMIR , 6672-13 |
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CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC , 6671-13 |
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Federal Court Enters $2.2 Million Default Judgment Order against Florida-based Global Precious Metals Trading Company and its Owner, Michael Ghaemi, for Operating a Fraudulent Off-Exchange Precious Metals Scheme , 6670-13 |
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CFTC Seeks to Revoke Registration of Chicago Trading Managers LLC , 6669-13 |
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CFTC Seeks to Revoke the Commodity Pool Operator and Commodity Trading Advisor Registrations of Veruus Wealth Management, LLC , 6668-13 |
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Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning , 6667-13 |
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CFTC Charges Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6666-13 |
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CFTC Approves Final Regulations for Exemption from Required Clearing for Swaps Entered into by Certain Cooperatives; Division of Clearing and Risk Issues Time-Limited No-Action Relief , 6665-13 |
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CFTC Issues Proposed Rules for Derivatives Clearing Organizations to Align with International Standards , 6664-13 |
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CFTC Adopts Harmonization Rules for Registered Investment Companies , 6663-13 |
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CFTC Issues Final Rules to implement Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations , 6662-13 |
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Federal Court in Illinois Orders Chicago-Based Trader Bradley Scott Schiller to Pay more than $7.5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud , 6661-13 |
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CFTC’s Division of Market Oversight Issues an Amendment to Previously Issued No-Action Relief for Certain Commodity Trading Advisors and Investment Advisors from the Prohibition of Aggregation for Large Notional Off-Facility Swaps , 6660-13 |
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CFTC Obtains Default Judgment against Christopher Smithers of Florida for Fraud in Connection with Futures Contracts, Fraud in Connection with Contracts of Sale of a Commodity in Interstate Commerce, and Violations of a U.S. District Court’s Prior Orders , 6659-13 |
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CFTC Releases Rule Enforcement Review of the Chicago Mercantile Exchange and the Chicago Board of Trade , 6658-13 |
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CFTC Division of Clearing and Risk Issues Notice Regarding Expiration of Cross-Border Exemptive Relief from the Clearing Requirement , 6657-13 |
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CFTC Issues Order of Temporary Registration as a Swap Execution Facility to Bloomberg SEF LLC , 6656-13 |
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CFTC Charges Florida-Based AmeriFirst Management LLC and Its Owners, John P. D’Onofrio, George E. Sarafianos, and Scott D. Piccininni, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6655-13 |
