Displaying results 491 - 500 of 1186
Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts
... November 25, 2013 Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation…
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CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations
...Washington DC — The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Jason Gospodarek (Gospodarek) and Quantum Financial Network, LLC (Quantum Financial), both located in Wisconsin, for their failure to register as an introducing broker, and against Gospodarek for his failure to register as an associated person of a commodity…
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2011-10737
... Federal Register, Volume 76 Issue 111 (Thursday, June 9, 2011)[Federal Register Volume 76, Number 111 (Thursday, June 9, 2011)] [Proposed Rules] [Pages 33818-33878] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-10737] [[Page 33817]] Vol. 76 Thursday, No. 111 June 9, 2011 Part II…
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CFTC Orders Wisconsin Broker to Pay Over $750,000 for Improper Trade Allocation and Additional Violations
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Prime Agricultural Investors, Inc. (Prime), an introducing broker based in Wisconsin, and Chad Henderson, a Principal and Associated Person of Prime, for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to improper allocation of…
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2014-26978
...[Federal Register Volume 79, Number 220 (Friday, November 14, 2014)] [Proposed Rules] [Pages 68148-68151] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2014-26978] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 1 RIN 3038-AE22 Residual Interest…
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July 17 GMAC
...Global Markets Advisory Committee (GMAC) July 17, 2023 9:00 a.m. to 4:00 p.m. (EDT) Meeting Agenda 9:00 AM to 9:25 AM          Opening statements and procedural matters (25 min) The Honorable Caroline D. Pham, Commissioner, CFTC (GMAC Sponsor) CFTC Chairman and Commissioners Amy Hong, Head of Market Structure & Strategic…
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Commissioner Johnson to Deliver Keynote Address at the 2022 Federal Reserve Bank of Chicago Financial Markets Group Fall Conference
... WHAT: Commissioner Kristin N. Johnson will deliver a keynote address at the 2022 Federal Reserve Bank of Chicago Financial Markets Group Fall Conference on Innovation in Trade Execution, Governance, and Post-Trade Clearing and Settlement of Exchange Traded and Centrally Cleared Products. WHEN: Wednesday, November 16, 2022…
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2010-29022
... FR Doc 2010-29022[Federal Register: December 6, 2010 (Volume 75, Number 233)] [Proposed Rules] [Page 75727-75760] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr06de10-18] [[Page 75727]] ----------------------------------------------------------------------- Part II…
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Statement of Commissioner Scott D. O'Malia Regarding JPMorgan's Use of Manipulative Device
… in favor of taking shortcut's to achieve high-profile settlements. I am also concerned that by accepting this …
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2016-06261
… Infrastructures (``CPMI'')) of the Bank for International  Settlements and the Technical Committee of the … regulation 39.14,  which requires a DCO to complete money settlements on a timely basis,  but not less frequently than … accurate record of the flow of funds  associated with money settlements; possess the ability to comply with  the terms …
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