Displaying results 361 - 370 of 1184
2011-9446
... Federal Register, Volume 76 Issue 79 (Monday, April 25, 2011)[Federal Register Volume 76, Number 79 (Monday, April 25, 2011)] [Proposed Rules] [Pages 22833-22848] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-9446…
Created on:
Concurring Statement of Commissioner Christy Goldsmith Romero in the Classic Energy Natural Gas Insider Trading Case
… more defendants to admit wrongdoing in CFTC enforcement settlements.  The HEAT Test is designed to identify those … and maximizing the deterrent impact of its enforcement settlements because of challenges facing commodities … Heightened Enforcement Accountability and Transparency in Settlements | CFTC (September 19, 2022). [7] The consent …
Created on:
e8-30057
... FR Doc E8-30057[Federal Register: December 18, 2008 (Volume 73, Number 244)] [Notices] [Page 77015-77020] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr18de08-51…
Created on:
e8-30057
... FR Doc E8-30057[Federal Register: December 18, 2008 (Volume 73, Number 244)] [Notices] [Page 77015-77020] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr18de08-51…
Created on:
Statement of Commissioner Kristin N. Johnson: A Call For The CFTC To Begin A Formal Rulemaking to Address Vertical Integration
...Bitnomial Clearinghouse, LLC (Bitnomial Clearinghouse) seeks to register as a derivatives clearing organization (DCO) pursuant to Section 5b of the Commodity Exchange Act (CEA) and Part 39 of the Commodity Futures Trading Commission’s (Commission or CFTC) regulations (Part 39). Long before the Commission began deliberation on this application, I advocated for the Commission to initiate a…
Created on:
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 Warehouses. 03/31/2006 03/31/2006 NYMEX COMEX Division Rule 104.42 Effective…
Created on:
Futures Glossary
... window.dataLayer = window.dataLayer || []; function gtag(){dataLayer.push(arguments);} gtag('js', new Date()); gtag('config', 'G-MGC9RGBKDX'); .glossary_container .title a { color: #212E60 !important; } .glossary_content::before { content:''; display:block; height: 50px; margin-top: -50px; visibility: hidden;} Font Size: AAA // Print // Bookmark Futures Glossary A…
Created on:
Statement of Commissioner Kristin N. Johnson regarding the CFTC’s Notice and Order Imposing a Statutory Disqualification against Allianz Global Investors US LLC
...The Commodity Futures Trading Commission (CFTC) today issued a Notice of Intent to Revoke the Registrations of Allianz Global Investors US LLC (AGI US) and simultaneously issued an Opinion and Order accepting AGI US’s offer of settlement. In the settlement, the Commission revokes AGI US’s registration as a commodity trading advisor and a commodity pool operator. AGI US is a global…
Created on:
2013-12242
… procedures that a SEF must follow if it permits the use of settlements to resolve disciplinary cases. Paragraph (1) of … last thirty years. According to the Bank for International Settlements (``BIS''), the global OTC derivatives market … \933\ The Bank for International Settlements, Quarterly Review, at A 131 (Sep. 2012), …
Created on:
Statement of Commissioner Kristin N. Johnson Regarding CFTC Orders Against HSBC for Fraudulent and Manipulative Swaps Trading and Spoofing, and for Recordkeeping and Supervision Failures
...Today, the Commodity Futures Trading Commission (CFTC or Commission) issued two orders settling charges against, respectively, (i) HSBC Bank USA, N.A. (HSBC) for fraudulent and manipulative swaps trading and spoofing; and (ii) HSBC, HSBC Securities (USA) Inc., and HSBC Bank plc (collectively, HSBC Affiliates) for failing to maintain, preserve, and produce records in compliance with CFTC…
Created on: