Displaying results 361 - 370 of 1195
...
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:
...I respectfully dissent from the Commission’s enforcement action charging, and settling with, Powerline Petroleum, LLC (“Powerline”) and its current principals, Darren Dohme and Adam Wright. As a matter of law, I do not believe that all the charges are backed by the facts. I also believe that some aspects of the settlement are inconsistent with the Commission’s prior…
Created on:
...
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:
...
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:
...Good morning. Thank you, Mr. Chairman.
It is a pleasure to welcome everyone joining us for this monumental meeting today. We will consider two proposed rules that represent the Commission taking invaluable steps toward addressing the most pressing issues in our markets—issues that are at the frontier of an undeniable transformation in global financial markets. We will also consider an…
Created on:
...Today, the Commission considers several amendments to Part 39 regulations. In January of 2020, the Commission amended a number of the provisions in Part 39 to enhance certain risk management and reporting obligations and clarify the meaning of certain provisions including registration and reporting requirements.[1] Last November, the Commission considered a proposed rulemaking…
Created on:
...
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:
...Washington, D.C. — The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges with affiliates of three financial institutions for a variety of swap dealer activities including failures related to swap data reporting and, in one case, failures related to the disclosure of Pre-Trade Mid-Market Marks (PTMMMs).
The settling financial institutions,…
Created on:
… 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:
… of market participants. A recent Bank of International Settlements study carefully details market activity in … Crypto Shocks and Retail Losses, Bank for International Settlements (February 2023). [3] Id. [4] Id. [5] Ontario …
Created on: