Displaying results 621 - 630 of 1195
CFTC Assesses Penalties of $300,000 Against Shell-Related Companies and Trader in Settling Charges of Prearranging Crude Oil Trades
... Release: 5150-06 For Release: January 4, 2006 U.S. Commodity Futures Trading Commission Assesses Penalties of $300,000 Against Shell-Related Companies and Trader in Settling Charges of Prearranging Crude Oil Trades Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and…
Created on:
CFTC Statement on Self-Certification of Bitcoin Products by CME, CFE and Cantor Exchange
... December 1, 2017 CFTC Statement on Self-Certification of Bitcoin Products by CME, CFE and Cantor Exchange Washington, DC — Today, the Chicago Mercantile Exchange Inc. (CME) and the CBOE Futures Exchange (CFE) self-certified new contracts for bitcoin futures products, and the Cantor Exchange (Cantor) self-certified a new contract for…
Created on:
CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws
... November 26, 2014 CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His…
Created on:
The Market Risk Advisory Committee to Meet on March 8
... Transcript Washington, D.C. — The Market Risk Advisory Committee (MRAC) will hold a public meeting on Wednesday, March 8 from 9:30 a.m. to 12:30 p.m. (EST) at the CFTC’s Washington, D.C. headquarters. Members of the public will also have the option of attending virtually. Commissioner Kristin N. Johnson is the sponsor of the MRAC. “We enthusiastically welcome MRAC members back to…
Created on:
The Market Risk Advisory Committee to Meet on March 8
...Washington, D.C. — The Market Risk Advisory Committee (MRAC) will hold a public meeting on Wednesday, March 8 from 9:30 a.m. to 12:30 p.m. (EST) at the CFTC’s Washington, D.C. headquarters. Members of the public will also have the option of attending virtually. Commissioner Kristin N. Johnson is the sponsor of the MRAC. “We enthusiastically welcome MRAC members back to the Commission…
Created on:
SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies
...September 4, 2019   SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies OCC to Pay Combined $20 Million Penalty Washington, DC – The Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and…
Created on:
Statement of Commissioner Kristin N. Johnson: Taking Action to Prevent Fraud By Digital Asset Services Firms
...Today, the Commodity Futures Trading Commission (CFTC or Commission) announced that it filed a civil injunctive action in the United States District Court for the Southern District of New York against Celsius Network, LLC (Celsius), and its co-founder and former CEO Alex Mashinsky (Mashinsky, and together with Celsius, Defendants) charging them with fraud in violation of the Commodity Exchange…
Created on:
Dissenting Statement of Commissioner Dan M. Berkovitz
...Dissenting Statement of Commissioner Dan M. Berkovitz In re Tower Research Capital LLC: Waiver of SEC “Bad Actor” Disqualifications November 7, 2019 I dissent from the Commission’s approval of the administrative settlement with Tower Research Capital LLC (“Tower”).  While I agree with the substantial remedial sanctions the CFTC is imposing on Tower, I do not support the…
Created on:
CFTC Releases Annual Enforcement Results for Fiscal Year 2015
... November 6, 2015 CFTC Releases Annual Enforcement Results for Fiscal Year 2015 Agency Filed 69 Enforcement Cases and Achieved a Record $3.14 Billion in Civil Monetary Penalties Ordered Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today released the agency’s enforcement results for fiscal year (FY) 2015, which included a record $3.144 billion in…
Created on:
Statement on Support of the Dodd-Frank Rulemaking
... Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler Statements for the record on each rule: Clearinghouse legal and compliance matters I support the proposed rule on legal and compliance matters for clearinghouses, which would revise procedures for derivatives…
Created on: