Displaying results 491 - 500 of 1195
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…
Created on:
2010-27657
... FR Doc 2010-27657[Federal Register: November 3, 2010 (Volume 75, Number 212)] [Proposed Rules] [Page 67642-67657] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr03no10-21…
Created on:
2012-25764
... Federal Register, Volume 77 Issue 213 (Friday, November 2, 2012)[Federal Register Volume 77, Number 213 (Friday, November 2, 2012)] [Rules and Regulations] [Pages 66287-66350] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2012-25764] [[Page 66287]] Vol. 77 Friday, No. 213 November 2, 2012…
Created on:
Statement of Commissioner Caroline D. Pham Regarding Court Orders Entered Against BitMEX Co-Founders
...Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement regarding the entry of consent orders by the U.S. District Court for the Southern District of New York against three BitMEX co-founders: Arthur Hayes, Benjamin Delo, and Samuel Reed. “Today’s orders, which include $30 million in penalties, highlight the CFTC’s leading role…
Created on:
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…
Created on:
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 …
Created on:
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…
Created on:
Dissenting Statement of Commissioner Summer K. Mersinger Regarding Order on Certified Derivatives Contracts with Respect to Political Control of the U.S. Senate and House of Representatives
...I respectfully dissent from the Order Prohibiting Listing for Trading of Certified Derivatives Contracts with Respect to Political Control of the U.S. Senate and House of Representatives (the “Order”).  I cannot support the Commission[1] taking this trip “through the looking glass”[2] in order to cover up the fact that for over 13 years, it has failed to follow the process that Congress…
Created on:
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 …
Created on:
Statement of Commissioner Kristin N. Johnson Regarding The Importance of Futures Commission Merchants’ Compliance and The Need to Heighten the Consequences of Failing to Comply
...Today, the Commodity Futures Trading Commission (Commission or CFTC) issued a complaint and settlement order involving CHS Hedging, LLC (CHS), a registered futures commission merchant (FCM).  The order details many egregious violations, including CHS’s failure to comply with basic recordkeeping and supervisory obligations. In the wake of the terrorist attacks on September 11th,…
Created on: