Displaying results 21 - 30 of 79

Statement of Commissioner Kristin N. Johnson on Settlement Agreement Resolving Enforcement Action on Compliance and Supervision Failures

… CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation (Sept. 29, 2020), CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation | CFTC . At the time of the … 2020), CFTC Orders JPMorgan to Pay Record $920 Million for Spoofing and Manipulation | CFTC . In connection with the …

Statement by Commissioner Scott D. O’Malia to Opening Meeting to Discuss Swap Execution Facility Rules, Swap Block Rules, Made Available to Trade Determination and Disruptive Trade Guidance

… with respect to interpretation of disruptive trading and spoofing. In the ANPR, the Commission asked the industry to … for algorithmic or automated trading and what constitutes spoofing. Unfortunately, we failed to provide guidance in …

Written Testimony of Chairman J. Christopher Giancarlo before the Senate Banking Committee

… included significant actions to root out manipulation and spoofing and to protect retail investors from fraud. The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. The CFTC … and repeatedly engaging in a manipulative and deceptive spoofing scheme while placing orders for and trading futures …

Written Testimony of Chairman J. Christopher Giancarlo before the U.S. Senate Agriculture, Nutrition, and Forestry Committee

… included significant actions to root out manipulation and spoofing and to protect retail investors from fraud. The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. The CFTC … and repeatedly engaging in a manipulative and deceptive spoofing scheme while placing orders for and trading futures …

Remarks of Chairman Timothy Massad before the CME Global Financial Leadership Conference

… efforts with respect to new forms of improper behavior like spoofing. Just last week our case against Navinder Sarao for spoofing was settled, and he pleaded guilty to criminal …

Testimony of Chairman Timothy G. Massad before the U.S. House Committee on Agriculture

… using them. We have new authority, for example, to attack “spoofing,” where a party enters a bid or offer without the … this new authority against a firm and its principal for spoofing in 2013, one of the first such cases, and last … the U.S. Attorney for Illinois indicted the principal for spoofing, based on a referral from us. We have also directed …

Opening Statement Before the Technology Advisory Committee

… and negatively. Phrases like “quote stuffing” and “spoofing” are bantered about as ways that algorithmic …

Remarks of Chairman Timothy Massad before the 2016 P.R.I.M.E. Finance Annual Conference

… interesting issues. New forms of bad behavior, such as spoofing, are complicated and constantly evolving. As I … requires sophisticated IT capabilities. In the case of spoofing and manipulation, however, it also involves a …

Remarks of Chairman Timothy Massad before the Exchequer Club of Washington, D.C.

… to integrity of benchmarks, improper behavior such as spoofing, traditional scams such as Ponzi schemes and … actions against those who engage in activities such as spoofing and other forms of manipulation. The proposal we …

Statement of Commissioner Rostin Behnam Regarding Tower Research Capital LLC

… things, that Tower engaged in a manipulative and deceptive spoofing scheme resulting in the largest civil resolution … of Tower’s actions, which involved unprecedented levels of spoofing, I am not comfortable advising the SEC that the …