Displaying results 511 - 520 of 1195
...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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...Chairman Thompson, Ranking Member Scott and members of the Committee, thank you for the opportunity to appear before you today.
The Need for Legislation to Fill the Regulatory Gap
Since my Senate confirmation hearing almost two years ago, I have consistently highlighted the need for Congressional action to address the lack of federal regulation over the digital commodity market.[1]…
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… which were developed by the Bank for International Settlements' Committee on Payment and Settlement Systems … \28\ See Bank for International Settlements' Committee on Payment and Settlement Systems and … 76 FR 3698 (Jan. 20, 2011); see also Bank for International Settlements' Committee on Payment and Settlement Systems and …
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… to Cognata’s failure to produce records to the CFTC, the settlements and findings in two exchange disciplinary …
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...I support the final rule on reporting and information requirements for derivatives clearing organizations (DCOs) (DCO Reporting Final Rule) because of its careful attention and response to public comments received. I would like to thank Clark Hutchison, Eileen Donovan, Parisa Nouri, August Imholtz, Gavin Young, Theodore Polley, and Elizabeth Arumilli of the Division of Clearing and Risk (DCR)…
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Enhancing Protection Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
October 30, 2013
Amendments to the Rule Text:
Strike §1.22(c)(5):
(5) Residual Interest Deadline Defined.
(i) Except as…
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October 16, 2017
CFTC Announces Clearinghouse Liquidity Stress Test Results
Washington, DC — Staff of the U.S. Commodity Futures Trading Commission (CFTC) today issued a report detailing the results of an evaluation of settlement liquidity at clearinghouses. The purpose of the analysis was to assess the impact of a hypothetical…
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...Federal Register, Volume 80 Issue 56 (Tuesday, March 24, 2015)
[Federal Register Volume 80, Number 56 (Tuesday, March 24, 2015)]
[Rules and Regulations]
[Pages 15507-15510]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-06548…
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March 16, 2016
CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions
Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Equinox Fund Management, LLC (Equinox). The Order finds that Equinox, a CFTC-registered Commodity Pool Operator (CPO), made…
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...Washington, D.C. — The Commodity Futures Trading Commission’s Global Markets Advisory Committee (GMAC) today released the agenda for its meeting on July 17 from 9:00 a.m. to 3:00 p.m. (EST) at the New York Stock Exchange (NYSE). Commissioner Caroline D. Pham is the sponsor of the GMAC.
Commissioner Pham announced Lynn Martin, President of NYSE Group, which includes the New York Stock…
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