Displaying results 501 - 510 of 1195
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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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,…
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2013-30978
... Federal Register, Volume 78 Issue 249 (Friday, December 27, 2013)[Federal Register Volume 78, Number 249 (Friday, December 27, 2013)] [Notices] [Pages 78899-78910] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2013-30978] [[Page 78899…
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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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CFTC Charges Futures Trader with Cross-Exchange Manipulation
...September 27, 2018 CFTC Charges Futures Trader with Cross-Exchange Manipulation  Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Davis Ramsey, a Florida-based futures trader, for employing a manipulative scheme to influence the prices of certain futures contracts traded on the Chicago…
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e9-29730
... FR Doc E9-29730[Federal Register: December 16, 2009 (Volume 74, Number 240)] [Proposed Rules] [Page 66598-66601] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr16de09-25…
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2012-21612
... Federal Register, Volume 77 Issue 171 (Tuesday, September 4, 2012)[Federal Register Volume 77, Number 171 (Tuesday, September 4, 2012)] [Notices] [Pages 53870-53873] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2012-21612…
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e9-29730
... FR Doc E9-29730[Federal Register: December 16, 2009 (Volume 74, Number 240)] [Proposed Rules] [Page 66598-66601] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr16de09-25…
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Industry Filings
... December 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 12/29/2004 12/30/2004 NYBOT Revised Holiday Schedule for FCOJ. Clearing members to submit first day delivery notices a day earlier. 12/29/2004 12/30/2004 CME Increased number of contract months for electronically traded Livestock…
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Statement of Richard Shilts, Director, Division of Market Oversight on Meeting to Consider Significant Price Discovery Contract Determinations
... Statement of Richard Shilts, Director, Division of Market Oversight on Meeting to Consider Significant Price Discovery Contract Determinations April 27, 2010 Introduction Before discussing the specific Exempt Commercial Market (ECM) contracts under consideration today, I would like to first provide background information with respect to actions taken so far in connection with the…
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