Displaying results 451 - 460 of 1195
2011-4707
... Federal Register, Volume 76 Issue 47 (Thursday, March 10, 2011)[Federal Register Volume 76, Number 47 (Thursday, March 10, 2011)] [Proposed Rules] [Pages 13101-13111] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-4707…
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Testimony of Commissioner Sharon Y. Bowen before the U.S. House Committee on Agriculture, Subcommittee on Commodity Exchanges, Energy, and Credit
… forward to your questions. 1 See Bank for International Settlements, “Derivatives Financial Instruments Traded on … over $17 trillion in mid-2014. See Bank for International Settlements, “Amounts of Outstanding Over-the-Counter (OTC) …
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Swap Dealer Pays Over $6.8 Million for Violations of Swap Dealer Business Conduct Standards
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against New York-based, provisionally registered swap dealer Mizuho Capital Markets LLC for trade practice violations of the Swap Dealer Business Conduct Standards in the Commodity Exchange Act (CEA) and CFTC regulations. The violations arise from Mizuho’s failure to…
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Keynote Speech of Commissioner Kristin N. Johnson at the Salzburg Global Finance Forum
...Thank you to former FDIC Chairman Jelena McWilliams, the esteemed board of directors of the Salzburg Global Seminar, and the forum organizers for the invitation to join you for the 2023 Salzburg Global Finance Forum.  It is great to have an opportunity to launch the discussion this morning on exciting innovation and emerging novel technologies such as the integration of supervised and…
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Industry Filings
... February 2006 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 02/27/2006 02/28/2006 CBOT Rule Numbers - Appendix 4A Establish $1.00 Exchange fee for Level 3 transactions in 100 oz. Gold Options. 02/24/2006 02/24/2006 CBOT Rule Numbers - 221.00. Clarify termination of membership delegation upon…
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CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures
...Washington, D.C. — The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant, for failing to diligently supervise the handling of its customer accounts by not adequately preparing and configuring its electronic trading system to receive negative prices and calculate margin on April 20,…
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13-13
...Time-Limited Relief for Swap Dealers and Major Swap Participants from Compliance with Business Conduct Standards in Foreign Exchange Transactions with a Settlement Cycle of No More than Seven Local Business Days.
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2023-13446
…     \9\ See Bank for International Settlements ``OTC derivatives  statistics at end-June 2022'' …
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07-1521
... [Federal Register: March 28, 2007 (Volume 72, Number 59)] [Rules and Regulations] [Page 14413-14416] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr28mr07-7…
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e9-27287
... FR Doc E9-27287[Federal Register: November 13, 2009 (Volume 74, Number 218)] [Notices] [Page 58608-58610] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr13no09-36] [[Page 58608…
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