Displaying results 281 - 290 of 1195
2024-12125
...[Federal Register Volume 89, Number 112 (Monday, June 10, 2024)] [Proposed Rules] [Pages 48968-49000] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2024-12125] [[Page 48967]] Vol. 89 Monday, No. 112 June 10, 2024 Part II Commodity Futures Trading Commission…
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2023-28532
...[Federal Register Volume 88, Number 247 (Wednesday, December 27, 2023)] [Notices] [Pages 89410-89428] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2023-28532] ======================================================================= ----------------------------------------------------------------------- COMMODITY FUTURES TRADING…
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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
... May 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 05/28/2004 06/01/2004 CBOT Revisions to Floor Efficiency Performance Standards 05/27/2004 05/28/2004 EUREXUS Eurex US Rules 416(h) and 417(i) 05/27/2004 05/28/2004 NYMEX Listing contract months through December 2007 in the Houston…
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e9-6044
… delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity … delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity …
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e9-6044
… delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity … delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity …
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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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2011-31637
... Federal Register, Volume 76 Issue 247 (Friday, December 23, 2011)[Federal Register Volume 76, Number 247 (Friday, December 23, 2011)] [Rules and Regulations] [Pages 80674-80723] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-31637] [[Page 80673]] Vol. 76 Friday, No. 247 December 23,…
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2011-6398
... Federal Register, Volume 76 Issue 53 (Friday, March 18, 2011)[Federal Register Volume 76, Number 53 (Friday, March 18, 2011)] [Notices] [Pages 14943-14948] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-6398…
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