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Statement of Commissioner Kristin N. Johnson in Support of Proposed Rulemaking on DCO Recovery and Orderly Wind-down Plans
… (PFMIs) established by the Bank of International Settlements’ (BIS) and the International Organization of …
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Industry Filings
... August 2005 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description   08/31/2005 09/01/2005 NYMEX The RVP requirement for September 1 through 15, 2005 as specified in NYMEX Rule 190.03(A)(4) will not be applicable during this period. 08/31/2005 08/31/2005 NYMEX Notification of Extension of…
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2011-11008
… \37\ See, e.g., ``Life Settlements Task Force, Staff Report to the United States … have considered or instituted a trading platform for life settlements.''), available at http://www.sec.gov/news/studies/2010/lifesettlements-report.pdf (July 22, 2010). \38\ See, e.g., …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Order Against The Bank of Nova Scotia and Scotia Capital USA Inc. for Recordkeeping and Supervision Failures Relating to Offline Communications
… context and history; it should be expected that any future settlements would similarly do the same, with … Lenel Hickson, Jr., and Manal M. Sultan. [1] As with the settlements announced in September, the Securities & …
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Industry Filings
...March 2006 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 03/31/2006 03/31/2006 NYMEX Rules 7.07 and 7.11 To provide a more representative reporting of unwarranted material in Exchange-Approved Metals Depositories and…
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Federal Court Enters Summary Judgment Against Convicted Florida Man and Orders Multiple Entities and Individuals to Pay Over $60 Million for Retail Forex Fraud Scheme
...Washington, D.C. — The Commodity Futures Trading Commission today announced Judge Virginia Covington of the U.S. District Court for the Middle District of Florida entered a summary judgment order on December 6 for a permanent injunction, monetary sanctions, and equitable relief against Michael DaCorta of Florida. On December 15, Judge Covington also entered consent orders against Oasis…
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2010-16206
... FR Doc 2010-16206[Federal Register: July 2, 2010 (Volume 75, Number 127)] [Notices] [Page 38478-38487] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr02jy10-43] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING…
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Industry Filings
... October 2005 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 10/31/2005 11/01/2005 NYMEX A large number of rules in NYMEX Chapter 2 (Membership). NYMEX is implementing various rule changes in connection with the consolidation of NYMEX and COMEX membership requirements. 10/31/2005 11/01/2005…
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e9-20356
... FR Doc E9-20356[Federal Register: August 25, 2009 (Volume 74, Number 163)] [Notices] [Page 42948-42949] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr25au09-120…
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CFTC Orders New York-Based Commodity Pool Operator and Commodity Trading Advisor to Pay $400,000 Penalty for Supervision Failures
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against BBL Commodities LP (BBL), a New York-based CFTC-registered commodity trading advisor (CTA) and commodity pool operator (CPO). The order finds that BBL failed to establish and implement an adequate supervisory system to detect whether its employees were engaging…
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