Displaying results 531 - 540 of 1195
Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty
... Release: 5740-09 For Release: October 21, 2009 Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty CFTC previously found that DiPlacido manipulated settlement prices for electricity futures contracts on the New York Mercantile Exchange. Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today…
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Manuel F. Cohen Endowed Lecture by Commissioner Kristin Johnson at George Washington University Law School
...Thank you Dean Dayna Matthew and Professor Omari Simmons for inviting me to deliver the 2023 Manuel F. Cohen Lecture. Born in Brooklyn at the turn of the century—Manuel Frederick Cohen (“Manny”)—was a dedicated public servant who served for almost three decades at the Securities Exchange Commission (SEC). In 1961, Manny was nominated by President Kennedy to serve as a Commissioner of the…
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U.S. Regulators Encourage Comments on the CPSS-IOSCO Consultative Report on the Principles for Financial Market Infrastructures
... March 10, 2011 Joint Release: Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Securities and Exchange Commission U.S.…
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CFTC Revokes the Registration of Hedge Fund Operator Samuel Israel III, Former Managing Member of Bayou Management LLC
... Release: 5224-06 For Release: August 31, 2006 CFTC Revokes the Registration of Hedge Fund Operator Samuel Israel III, Former Managing Member of Bayou Management LLC Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on August 22, 2006, it filed a Notice of Intent to Revoke Registration (Notice) against Samuel Israel III. The CFTC…
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CFTC’s Division of Market Oversight Issues Extension of Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Requirements of Part 45 for CDS Clearing-Related Swaps
... June 27, 2013 CFTC’s Division of Market Oversight Issues Extension of Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Requirements of Part 45 for CDS Clearing-Related Swaps Washington, DC – The Commodity Futures Trading Commission’s (“Commission”) Division of Market Oversight (“Division”) today issued a no-action letter providing…
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Statement of CFTC Director of Enforcement James McDonald
...Statement of CFTC Director of Enforcement James McDonald January 29, 2018 Today, the CFTC announces the filing of eight actions that go to the core of our mission: to preserve market integrity and protect those who participate in our markets from fraud and manipulation. Specifically, these eight actions involve the settlement of three corporate cases against major financial institutions…
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CFTC Recommends Legislative Changes to Regulation of Exempt Commercial Markets
... Release: 5403-07 For Release: October 24, 2007 CFTC Recommends Legislative Changes to Regulation of Exempt Commercial Markets Guidance Strikes Critical Balance Between Ensuring Market Transparency and Promoting Growth and Innovation Washington, DC – Today, the Commodity Futures Trading Commission (CFTC) delivered to Congress a report that includes recommendations to increase the…
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CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against CX Futures Exchange, L.P. (CX), a designated contract market headquartered in New York, N.Y., for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to system safeguards, swap reporting, option reporting, and a giving a false statement…
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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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Christopher L. Pia, Former Portfolio Manager for Hedge Fund Moore Capital Management, LLC, to Pay $1 Million Penalty to Settle CFTC Charges of Attempted Manipulation
... July 25, 2011 Christopher L. Pia, Former Portfolio Manager for Hedge Fund Moore Capital Management, LLC, to Pay $1 Million Penalty to Settle CFTC Charges of Attempted…
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