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CFTC Proposes New Regulations and to Amend Existing Regulations to Enhance Protections for Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations , 6396-12 |
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 for Supervision Violations , 6395-12 |
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CFTC Issues Final Interpretative Guidance to Clarify Foreign Regulators Indemnification and Confidentiality Obligations , 6394-12 |
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CFTC Charges David M. Nunn with Engaging in an Illegal Trading Scheme and Making False Statements to ICE Futures US , 6393-12 |
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CFTC to Hold Open Meeting to Consider a Notice of Proposed Rulemaking on Enhancing Customer Protections , 6392-12 |
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CFTC Issues Final Rule Amending Existing Commission Regulations to Incorporate Swaps , 6391-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Swaps Calculation by Certain Foreign Entities for Purposes of the Swap Dealer and Major Swap Participant Definitions , 6390-12 |
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CFTC Division of Swap Dealer and Intermediary Oversight Issues Letter Providing Time-Limited No-action Relief with Respect to Foreign Exchange Forwards and Foreign Exchange Swaps , 6389-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter Regarding the Treatment of Agricultural and Exempt Commodities in Making Calculations for Purposes of the Swap Dealer and Major Swap Participant Definitions , 6388-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Letter Regarding Scope of Bona Fide Hedging Exemption for Registered Investment Companies , 6387-12 |
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CFTC Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the De Minimis Threshold for Swaps with Utility Special Entities , 6386-12 |
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CFTC Office of General Counsel Issues Interpretative and No-Action Letter Regarding Eligible Contract Participant Issues , 6385-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Registration No-Action Relief for Certain Swaps Intermediaries , 6384-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Guidance to Equity REITs and Certain Securitization Funds , 6383-12 |
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CFTC Staff Preserves Regulatory Status Quo for Petitioning RTOs & ISOs, and for Government and Cooperatively-Owned Electric Utilities , 6382-12 |
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CFTC Staff Responds to Frequently Asked Questions on the Reporting of Cleared Swaps , 6381-12 |
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CFTC Staff Responds to Questions on Start of Swap Data Reporting , 6380-12 |
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CFTC Orders Farr Financial Inc. to Pay $280,000 to Settle Charges of Improper Investment of Customer Segregated Funds and Supervision Failures , 6379-12 |
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CFTC Releases Enforcement Division’s Annual Results , 6378-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account , 6377-12 |
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Federal Court in Florida Imposes $350,000 Penalty against GlobeFX Club, Inc. and Jeremy Munson Globe for Making False Statements to the National Futures Association , 6376-12 |
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Singapore Exchange Derivatives Trading Limited’s MSCI Indonesia Index Futures Contract has been Certified and may be Offered to U.S. persons through Direct Access Effective October 2, 2012 , 6375-12 |
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Federal Court Orders Oscar Hernandez and His Companies to Pay $1.4 Million in Penalties and Bars Him from the Commodities Industry for Operating a Commodity Pool Ponzi Scheme , 6374-12 |
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Federal Court Orders Martin B. Rosenthal to Pay $1.2 Million for Aiding and Abetting the Making of False Statements to the NFA, Failing to Register as a Commodity Trading Advisor, and Violating a Previous CFTC Order , 6373-12 |
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CFTC Charges Boston Resident John B. Wilson and His Company with Commodity Pool Fraud , 6372-12 |
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CFTC Charges iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, with Making False Statements to the National Futures Association and Failing to Meet Minimum Financial Requirements , 6370-12 |
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CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil Monetary Penalty for Violating Cotton Futures Speculative Position Limits , 6369-12 |
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Florida Federal Court Orders Claudio Aliaga and His Company, CMA Capital Management, LLC, to Pay $5.5 Million in Penalties and Restitution for Operating a Forex Ponzi Scheme , 6368-12 |
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay $350,000 Penalty for Violating Wheat and Cotton Futures Speculative Position Limits , 6367-12 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time for Compliance from Certain Pre-Trade Screening Requirements , 6366-12 |
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CFTC Certifies S&P 500 Index Futures Contract Submitted by the Bolsa de Valores, Mercadorias e Futuros , 6365-12 |
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CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures , 6364-12 |
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CFTC Seeks to Revoke Registrations of Nevada Resident Gordon A. Driver and his Company, Axcess Fund Management LLC , 6363-12 |
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CFTC Charges Wisconsin Resident Eric N. Schmickle and His Company, Q Wealth Management Inc., with Operating a $5.3 Million Commodity Futures Fraud , 6362-12 |
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CFTC Seeks to Revoke Registrations of Victor E. Cilli and his Company Progressive Investment Funds, LLC , 6361-12 |
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CFTC Sanctions York Business Associates LLC d/b/a TransAct Futures, a Registered Futures Commission Merchant, $199,000 for Supervision Failures in Handling a Customer Account , 6360-12 |
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CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations , 6359-12 |
