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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Obligation of Swap Dealers and Major Swap Participants to Provide Certain Disclosures for Certain Transactions Under Regulation 23.431 , 6578-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Relief for Swap Dealers in Connection with Prime Brokerage Arrangements , 6577-13 |
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CFTC Sanctions Two Illinois Residents $400,000 and Imposes a 140-Day Trading Ban for Entering into Unlawful Wash Sales , 6576-13 |
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New CFTC Anti-Fraud Resources Released for Financial Capability Month , 6575-13 |
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CFTC Announces Departure of Office of International Affairs Director Jacqueline H. Mesa; Sarah E. Josephson Announced as New Director , 6574-13 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6573-13 |
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Federal Court Orders Wisconsin Resident Eric N. Schmickle and his Company, Q Wealth Management Inc., to Pay over $5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud , 6572-13 |
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CFTC Charges Accounting Firm Tunney & Associates, P.C. and Its Sole Owner Michael Tunney with Failing to Properly Audit a Registered Futures Commission Merchant , 6571-13 |
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CFTC Orders The Linn Group, Inc., a Registered Futures Commission Merchant, to Pay $400,000 Civil Monetary Penalty for Customer Account Deficiencies and Supervision Failures , 6570-13 |
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Federal Court Orders North Carolina Residents Timothy Bailey and Michael Hudspeth, and their Company, PMC Strategy, LLC, to Pay over $1.8 Million for Fraud in Foreign Currency Ponzi Scheme , 6569-13 |
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Federal Court in Florida Orders Michael Alcocer and His Panama-based Company, InovaTrade, Inc., to Pay More than $38 Million in Foreign Currency Fraud Action , 6568-13 |
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Report to the G-20 Meeting of Finance Ministers and Central Bank Governors of 18-19 April 2013 , |
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Federal Court in California Orders National Equity Holdings, Inc. and Its Principal, Robert J. Cannone, to Pay over $3.6 Million to Settle Fraud Charges in CFTC Action , 6567-13 |
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CFTC Grants Order to ICE Clear Europe Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account , 6566-13 |
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CFTC Vacates Kansas City Board of Trade Clearing Corporation’s Registration as a Derivatives Clearing Organization , 6565-13 |
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CFTC and SEC Approve Joint Final Rule Governing Identity Theft , 6564-13 |
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CFTC’s Division of Market Oversight Provides No-Action Relief from Swap Data Reporting Requirements to Swap Counterparties that are not Swap Dealers or Major Swap Participants , 6563-13 |
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CFTC Announces Jonathan L. Marcus as General Counsel , 6562-13 |
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CFTC Orders Florida-based Forex Global Solutions Inc., Forex Global Solutions Ltd., Barry Sendach, and Joshua Kershner to Pay $750,000 for Foreign Currency (Forex) Fraud and Violating CFTC Registration Requirements , 6561-13 |
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CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty , 6560-13 |
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CFTC Charges New York Firm 4X Solutions, Inc. and its Principal, Whileon Chay, with Forex Fraud Ponzi Scheme , 6559-13 |
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CFTC’s Division of Market Oversight and Division of Clearing and Risk Issue Joint No-Action Relief for Swaps Between Affiliated Counterparties from Certain Swap Reporting Requirements , 6558-13 |
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CFTC’s Division of Market Oversight Issues No-Action Relief for End-Users from Certain Reporting and Recordkeeping Requirements of the Trade Option Exemption , 6557-13 |
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Federal Court Orders Illinois Resident Brant L. Rushton and his Company, Summit Trading & Capital LLC, to Pay over $4.8 Million for Fraud and other Violations in Commodity Pool Scheme , 6556-13 |
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CFTC Revokes Registrations of Gordon A. Driver and Axcess Fund Management, LLC , 6555-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter for Commodity Pool Operators of Securitization Vehicles , 6554-13 |
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CFTC Approves Final Regulations Governing Exemption from Required Clearing for Inter-Affiliate Swaps , 6553-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations , 6552-13 |
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CFTC Staff Issue Extension of No-Action Relief to Certain Regional Transmission Organizations (RTOs), Independent System Operators (ISOs), and/or Their Participants , 6551-13 |
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CFTC Approves Final Regulations Governing Dual and Multiple Associations of Associated Persons of Swap Dealers and Major Swap Participants , 6550-13 |
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CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud , 6549-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Persons from Registration as an Introducing Broker or Commodity Trading Advisor , 6548-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants Concerning Annual Reports of Chief Compliance Officers , 6547-13 |
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CFTC Issues Final Order to Exempt Certain Specified Transactions of Regional Transmission Organizations and Independent System Operators , 6546-13 |
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CFTC Issues Final Order to Exempt Certain Non-Financial Energy Derivative Transactions between Government and/or Cooperatively-Owned Electric Utilities , 6545-13 |
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Federal Court in California Orders Victor Yu and His Company to Pay over $3.2 Million in Foreign Currency Fraud Action , 6544-13 |
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CFTC Revokes Registrations of New Jersey-based Victor E. Cilli and Progressive Investment Funds LLC , 6543-13 |
