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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 |
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CFTC’s Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps , 6481-12 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members , 6480-12 |
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CFTC’s Division of Market Oversight Provides Additional Information Concerning its Existing No-Action Relief (CFTC Letter No. 12-46) for Reporting Parties Regarding Legal Entity Identifiers and Certain Identifying Information , 6479-12 |
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CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank , 6478-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition , 6477-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues 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 , 6476-12 |
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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 , 6475-12 |
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CFTC Settles Charges against Virginia Resident Alexander Giap for Engaging in Two Fraudulent Commodity Futures Trading Schemes , 6474-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From the Reporting Provisions of Part 45 for CDS Clearing-Related Swaps , 6473-12 |
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CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates , 6472-12 |
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CFTC Releases Rule Enforcement Review of ICE Futures US , 6471-12 |
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CFTC Issues Interim Final Rules Regarding Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants , 6470-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Obligation of Swap Dealers and Major Swap Participants to Provide the Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps , 6469-12 |
