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CFTC Staff and IOSCO Board Level Task Force to Host Public Roundtable to Discuss IOSCO Consultation Report on Financial Benchmarks , 6518-13 |
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CFTC Orders Enskilda Futures Limited to Pay a $125,000 Civil Monetary Penalty for Failing to Meet Minimum Capital Requirements Due to Margin Errors , 6517-13 |
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Federal Court in Nebraska Orders Omaha Resident Michael J. Welke to Pay $387,000 to Settle Commodity Pool Fraud Charges , 6516-13 |
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Federal Court in Texas Orders Jonathan Hansen and His Company, J. Hansen Investments, LLC, to Pay over $1.3 Million to Settle Commodity Pool Fraud Action , 6515-13 |
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CFTC Approves Amendment to Cantor Clearinghouse, L.P., Registration Order , 6514-13 |
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CFTC Charges South Carolina Resident Robert Stanley Harrison with Commodity Pool Fraud , 6513-13 |
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CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges , 6512-13 |
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Federal Court in Texas Orders Rodney Wagner and Roger Wagner, and their company GID Group, Inc., to Pay Over $2.4 Million for Fraud in Foreign Currency (Forex) Ponzi Scheme , 6511-13 |
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CFTC Orders The Royal Bank of Scotland plc and RBS Securities Japan Limited to Pay $325 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation, and False Reporting of Yen and Swiss Franc LIBOR , 6510-13 |
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CFTC Seeks Public Comment on the Request of trueEX LLC for an Amended DCM Order to Allow Intermediated Trading on its Platform , 6509-13 |
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CFTC Sues Australian Company, Halifax Investment Services, Ltd., for Unlawfully Soliciting U.S. Customers , 6508-13 |
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Federal Court in Florida Imposes over $22.8 Million in a Monetary Sanction and Restitution against Floridian David Merrick and His Company, Trader’s International Return Network , 6507-13 |
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Federal Court Imposes over $2.8 Million in Sanctions against Florida Resident Martin H. Bedick and His Company, Angus Jackson, Inc., for Making False Statements , 6506-13 |
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CFTC Staff to Host a Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded Customers and Funds Deposited by Customers , 6505-13 |
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CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud , 6504-13 |
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CFTC Charges Four Florida-based Precious Metals Firms and Three Individuals for Engaging in Illegal Retail Off-Exchange Transactions in Precious Metals , 6503-13 |
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Commissioner Jill Sommers Announces her Resignation , 6502-13 |
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CFTC Approves Rulebook and Issues Amended Registration Order for LCH.Clearnet LLC , 6501-13 |
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CFTC Staff to Host Public Roundtable to Discuss the “Futurization of Swaps” , 6500-13 |
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CFTC Obtains Default Judgment against Lincolnshire Trading Partners, LLC and Scott Geisinger for Violating CFTC Registration Requirements , 6499-13 |
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CFTC Extending Review Period on a Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook , 6498-13 |
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Pro Trading Course LLC’s Commodity Trading Advisor Registration Revoked , 6497-13 |
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Federal Court in Nevada Orders Charles Leroy Timberlake and Trans Global Investments, LLC to Pay $340,000 to Settle Commodity Pool Fraud Charges , 6496-13 |
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CFTC Grants Order to ICE Clear Credit Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account , 6495-13 |
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CFTC Announces Appointment of Melissa Jurgens to Serve as Secretary of the Commission , 6494-13 |
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CFTC Extends Public Comment Period on Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Future Commission Merchants and Derivatives Clearing Organizations , 6493-13 |
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CFTC Extending Period for Accepting Public Comment on a CME Request to Adopt New Chapter 10 and New Rule 1001 of CME’s Rulebook , 6492-13 |
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CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures , 6491-13 |
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations , 6490-13 |
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CFTC Announces Real-Time Public Reporting of Swap Transactions and Swap Dealer Registration Began December 31, 2012 , 6489-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Further No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition , 6488-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Registration Relief to Certain Introducing Brokers and Commodity Trading Advisors Involved in Swaps Activities , 6487-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief to Certain Associated Persons , 6486-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant to Recent Changes to Commission Regulations , 6485-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Investment Pools that Invest in Legacy Securitization Vehicles , 6484-12 |
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CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief , 6483-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Reporting of Certain Non-Reporting Counterparty Information Pursuant to Parts 45 and 46 , 6482-12 |