Displaying results 21 - 30 of 1195
… question is front-and-center in my mind as I consider these settlements. Do the actions of the CFTC in entering into …
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Concurring Statement of Commissioner Dawn D. Stump Regarding Settlement with Interactive Brokers LLC
...I agree with the Commission’s finding that Interactive Brokers LLC (IB) violated CFTC Rule 166.3[1] by failing to diligently supervise its electronic trading system’s preparedness for, and ability to handle, negative crude oil futures prices as occurred on April 20, 2020.
The Order being issued by the Commission states, “IB’s substantial cooperation and appropriate remediation is . . .…
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… I recently called for more defendant admissions in CFTC settlements. See Statement of Commissioner Christy … Test to Require More Defendants to Admit Wrongdoing in Settlements (Sept. 19, 2022), available at …
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Statement of Chairman Gary Gensler on Settlement Order against Rabobank
October 29, 2013
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today made the following statement on the CFTC’s enforcement action that requires Coöperatieve Centrale Raiffeisen-…
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Statement of Chairman Gary Gensler on Settlement Order against ICAP
September 25, 2013
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today made the following statement on the CFTC’s enforcement action that requires ICAP Europe Limited to pay a $65 million…
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Statement of Chairman Gary Gensler on Settlement Order Against UBS
December 19, 2012
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today made the following statement on the CFTC’s enforcement action that requires UBS to pay a $700 million penalty for…
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