Displaying results 241 - 250 of 1184
Industry Filings
...June 2006 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 06/30/2006 06/30/2006 HEDGESTREET HedgeStreet Rules 12.30, 12.32, 12.34, 12.35 and 12.37 Effective Wednesday, July 5, 2006, while HedgeStreet will re-list various…
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Industry Filings
... September 2005 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 09/30/2005 09/30/2005 NYMEX Listing of Additional Strike Prices for the Gold, Silver, Copper, Heating Oil, Natural Gas, Unleaded Gasoline and Crack Heating Oil Option Contracts. 09/30/2005 09/29/2005 CME Composition of CME X-Fund…
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CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for failure to maintain adequate supervisory systems and controls to ensure its customers’ trading was not disruptive and for material omissions in a letter to the CFTC’s Division of Enforcement (DOE). The CFTC order requires…
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Statement of Commissioner Christy Goldsmith Romero In Support of Holding Interactive Brokers Accountable for Widespread Use of Whatsapp and Personal Text Messaging to Evade Regulatory Oversight
… 2022, I called for more defendant admissions in CFTC settlements.   See Statement by Commissioner Christy … Heightened Enforcement Accountability and Transparency in Settlements (Sept. 19, 2022), available at … more defendants to admit wrongdoing in CFTC enforcement settlements where admissions are necessary to promote the …
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Industry Filings
... July 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 07/30/2004 07/30/2004 NYMEX Listing of Additional Strike Prices for the Gold, Silver, Copper, Heating Oil, Crude Oil, Unleaded Gasoline, Natural Gas and Related Calendar Spread Option Contracts. 07/29/2004 07/29/2004 CME Eurodollar…
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2010-10311
... FR Doc 2010-10311[Federal Register: May 4, 2010 (Volume 75, Number 85)] [Notices] [Page 23686-23690] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr04my10-60] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION…
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2010-17747
... FR Doc 2010-17747[Federal Register: July 21, 2010 (Volume 75, Number 139)] [Notices] [Page 42380-42390] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr21jy10-38…
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Industry Filings
... October 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 10/29/2004 11/01/2004 NYMEX Listing of Additional Strike prices for the Gold, Crude Oil, Heating Oil, Gasoline Crack, Natural Gas and Related Calendar Spread Option Contracts. 10/29/2004 10/29/2004 NYMEX NYMEX Division Rules 9.26, 9.27…
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Industry Filings
... June 2006 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 06/30/2006 06/30/2006 HEDGESTREET HedgeStreet Rules 12.30, 12.32, 12.34, 12.35 and 12.37 Effective Wednesday, July 5, 2006, while HedgeStreet will re-list various Weekly Futures contracts for trading, the maximum Settlement Value for these…
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Statement of Commissioner Christy Goldsmith Romero on the Importance of Retail Customer Protections and Anti-Money Laundering in Precious Metals Markets and Foreign Currency (Forex) Markets
… for the CFTC to demand admissions of wrongdoing in settlements for brokers and other market intermediaries who … Heightened Enforcement Accountability and Transparency in Settlements:  Proposal for a Heightened Enforcement … Test to Require More Defendants to Admit to Wrongdoing in Settlements   (September 19, 2022). … Statement of …
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