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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 on Natural Gas Exchange for Purposes of Making Calculations Under the Swap Dealer Definition , 6468-12 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Japan Securities Clearing Corporation and its Clearing Participants , 6467-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations , 6466-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions, and Reporting of Unique Swap Identifiers in Related Trades under Part 45 by Prime Brokers , 6465-12 |
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CFTC Approves Final Rule on Adaptation of Regulations to Incorporate Swaps – Records of Transactions , 6464-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers , 6463-12 |
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CFTC’s Division of Market Oversight Issues No-Action Letter Addressing Timeline for Swap Dealer Compliance with Large Swap Trader Reporting Rules , 6462-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Post-Allocation Swap Timing Requirement of § 45.3(e)(ii)(A) of the Commission’s Regulations , 6461-12 |
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CFTC Charges Calif. Company Arista LLC and Calif. Residents Abdul Sultan Walji and Reniero Francisco with Fraud in Operating $9.5 Million Commodity Pool , 6460-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Principals Residing Outside the United States , 6459-12 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Provide Certain Exemptive Relief Consistent With the Expiring July 2012 Exemptive Order , 6458-12 |
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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 , 6457-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief for Part 20 Reporting Entities Regarding Identifying Information and for Part 45 & Part 46 Reporting Counterparties Regarding Legal Entity Identifiers & Other Identifying Information , 6456-12 |
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CFTC Accepting Public Comment on an Amended 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 , 6455-12 |
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Federal Court in Texas Orders Houston-based Defendants Christopher Daley and his Company, TC Credit Service d/b/a Del-Mair Group, to Pay Over $2.6 Million for Fraud in a Commodity Pool Scheme , 6454-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Guidance and No-Action Letter for Operators of Securitization Vehicles , 6453-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Mortgage REITs , 6452-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides No-Action Relief to Swap Dealers and Major Swap Participants from Compliance with Statutory Disqualification Prohibition with Respect to their Association with Certain Persons , 6451-12 |
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CFTC Orders Goldman, Sachs & Co., a Commission Registrant, to Pay $1.5 Million for Supervision Failures , 6450-12 |
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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 Foreign Exchange Transactions , 6449-12 |
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CFTC Charges Ray Thomas Brown with Fraud, Misappropriation, and Registration Violations in Operating Two Commodity Pool Scams , 6448-12 |
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CFTC Charges Hunter Wise Commodities, Lloyds Commodities, C.D. Hopkins Financial, United States Capital Trust, Newbridge Alliance, Blackstone Metals Group, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6447-12 |
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CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief With Respect To Equity Swaps, Foreign Exchange Swaps and Other Commodity Swaps, Due to Effects of Hurricane Sandy , 6446-12 |
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Federal Court in Idaho Orders CFTC Defendant Trigon Group, Inc. to Return More than $20.6 million of Ill-Gotten Gains to Victims of its Fraud , 6445-12 |
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Federal Court in New York Orders Defendants Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management to Pay over $1.8 Million for Fraud in Off-Exchange Foreign Currency Scheme , 6444-12 |
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CFTC Settles Charges against Deepak Singhal and Meera Singhal for Engaging in Illegal Trading Scheme , 6443-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues a No-Action Letter for Business Development Companies , 6442-12 |
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CFTC Files Complaint in Federal Court against Eric Moncada, BES Capital LLC, and Serdika LLC Alleging Attempted Manipulation of Wheat Futures Contract Prices, Fictitious Sales, and Non-Competitive Transactions , 6441-12 |
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CFTC Approves Order to Remove Interest Rate Asset Class from the Provisional Registration of ICE Trade Vault, LLC as a Swap Data Repository , 6440-12 |
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Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-border OTC Derivatives Market , 6439-12 |
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CFTC Approves Order to Add the Other Commodity Asset Class to the Provisional Registration of DTCC Data Repository (U.S.), LLC as a Swap Data Repository , 6438-12 |
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Federal Court Orders MBF Clearing Corp. to Pay $650,000 for Violating Customer Fund Segregation Requirements , 6437-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Concerning Bespoke or Complex Swaps , 6436-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time Limited No-Action Letters for Operators of Certain Funds of Funds , 6435-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action for Family Offices , 6434-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Amended No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities- , 6433-12 |
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Federal Court in New York Orders Marc Perlman and iGlobal Strategic Management, LLC to Pay over $2 Million for Solicitation Fraud and Misappropriation Involving Off-Exchange Foreign Currency and a Commodity Pool Ponzi Scheme , 6432-12 |
