Displaying results 461 - 470 of 1195
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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CFTC Revokes Registrations of Allianz Global Investors US LLC
...Washington, D.C. – The Commodity Futures Trading Commission today announced it has filed a Notice of Intent to Revoke the Registrations of Allianz Global Investors US LLC (AGI US), a Delaware limited liability company. The CFTC simultaneously issued an Opinion and Order accepting the settlement offer from AGI US and settling the action. The order revokes AGI US’s registrations…
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13-86
...The CFTC’s Division of Market Oversight has issued a no-action letter in connection with certain CDS trades executed pursuant to a DCO’s CDS Settlement Price Process, providing time-limited no-action relief to DCOs and their Clearing Members from the SEF Registration Requirement and Trading Mandate under Part 37, and from various reporting requirements under Part 45, allowing the DCO to…
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14-119
...The CFTC’s Division of Market Oversight issued an extension of no-action letter 13-86, which provided relief in connection with certain CDS trades executed pursuant to a DCO’s CDS Settlement Price Process, providing time-limited no-action relief to DCOs and their Clearing Members from the SEF Registration Requirement and Trading Mandate under Part 37, and from various reporting requirements…
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March 6 GMAC
...Global Markets Advisory Committee (GMAC) March 6, 2024 Meeting Agenda   10:00 AM to 10:15 AM WELCOME AND OPENING REMARKS (15 minutes) The Honorable Caroline D. Pham, Commissioner, CFTC (GMAC Sponsor) CFTC Commissioners Amy Hong, Head of Market Structure & Strategic Partnerships, Global Banking & Markets, Goldman Sachs (…
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Agricultural Advisory Committee
... Commodity Futures Trading Commission Twenty-Fourth Meeting of the CFTC Agricultural Advisory Committee Joseph Dial Chairman Wednesday, October 29, 1997 1:04 p.m. 1155 Twenty-First Street, N.W. Room 1000 Washington, D.C. C O N T E N T S ITEM PAGE 1. Welcoming Remarks 2. "How do agricultural producers feel about risk management?" Moderator:…
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CFTC Orders HSBC Bank USA, N.A. to Pay a $45 Million Penalty for Manipulative and Deceptive Trading in Connection with Swaps Related to Bond Issuances, Spoofing, and Supervision and Mobile Device Recordkeeping Failures
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against HSBC Bank USA, N.A. (HSBC), a provisionally registered swap dealer. The order charges HSBC with manipulative and deceptive trading related to swaps with bond issuers, spoofing, and supervision and mobile device recordkeeping failures at various times during…
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Federal Court Orders Former Head of International Binary Options Scheme to Pay More than $561,000 in Restitution
...Washington, D.C. – The Commodity Futures Trading Commission today announced the U.S. District Court for the Northern District of Ohio entered a consent order on April 27 for a permanent injunction, restitution, and equitable relief against Jared J. Davis, a former resident of Ohio. Davis, at times, conducted business as Erie Marketing, LLC.    The consent order resolves a…
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History of the CFTC
... CFTC History in the 2020s   Pre-CFTC  //  1970s  //  1980s  //  1990s  //  2000s  //  2010s  //  2020s March 13, 2020—In light of the COVID-19 (coronavirus) pandemic, the CFTC continues to achieve its regulatory mission as almost all CFTC staff begin an extended period of maximum telework. March 17, 2020—The CFTC…
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