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CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets
...January 29, 2018 CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets CFTC recognizes HSBC’s Cooperation and Substantial Assistance in the Investigation Washington, DC - The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against HSBC Securities (USA) Inc. (HSBC) for…
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CFTC Staff Issues Interpretation Regarding Consistency between CFTC Regulations Applicable to Derivatives Clearing Organizations and the Principles for Financial Market Infrastructures
... September 18, 2015 CFTC Staff Issues Interpretation Regarding Consistency between CFTC Regulations Applicable to Derivatives Clearing Organizations and the Principles for…
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U.S. Commodity Futures Trading Commission Revokes the Registration of United Investors Group Inc.
... Release: 5284-07 For Release: February 1, 2007 U.S. Commodity Futures Trading Commission Revokes the Registration of United Investors Group Inc. Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it issued an order revoking the registration of United Investors Group, Inc. (UIG) as an…
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CFTC Announces Inclusion of ICE Futures Europe Data in Weekly Commitments of Traders Reports
... Release: 5684-09 For Release: July 30, 2009 CFTC Announces Inclusion of ICE Futures Europe Data in Weekly Commitments of Traders Reports Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced that it will include positions of ICE Futures Europe exchange traders of West Texas Intermediate Crude Oil…
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Remarks before the Institute of International Bankers, Annual Washington Conference
... Remarks before the Institute of International Bankers, Annual Washington Conference Commissioner Jill E. Sommers March 5, 2012 Introduction Good afternoon. It is such a pleasure to be here again with you all today and a special thanks to Sally Miller for the invitation to discuss my perspective on the role of the CFTC in the oversight and regulation of swap markets. Much of…
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Statement of CFTC Chairman Tim Massad on the upcoming open Meeting of the Commission
... Statement of CFTC Chairman Tim Massad on the upcoming open Meeting of the Commission October 27, 2014 Washington, DC — U.S. Commodity Futures Trading Commission Chairman Tim Massad made the following statement announcing a public meeting of the Commission on November 3, 2014. “As…
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Testimony of Chairman James E. Newsome before the Subcommittee on Agriculture, Rural Development and Related Agencies, Committee on Appropriations, United States Senate
… rules on margin, customer funds protection issues, cash settlements, and trading halts. The NFA has developed …
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Testimony by Chairman James E. Newsome before the Subcommittee on General Farm Commodities and Risk Management Committee on Agriculture, U.S. House of Representatives
...Testimony by Chairman James E. Newsome before the Subcommittee on General Farm Commodities and Risk Management Committee on Agriculture, U.S. House of Representatives June 5, 2003 Chairman Newsome speaks with Subcommittee Chairman Moran before testifying Thank you, Chairman Moran, and members of the Subcommittee. I appreciate your giving me the opportunity to testify on behalf of…
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CFTC Staff Allows Sydney Futures Exchange’s 1-Day Option Contract Based on the CBOT Mini-Sized Dow Futures Contract to be Offered and Sold in the United States
... Release: 5217-06 For Release: August 14, 2006 CFTC Staff Allows Sydney Futures Exchange’s 1-Day Option Contract Based on the CBOT Mini-Sized Dow Futures Contract to be Offered and Sold in the United States Washington, D.C. – The Commodity Futures Trading Commission's (CFTC's) Office of General Counsel issued a no-action…
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Statement of CFTC Chairman Timothy Massad regarding Substituted Compliance Determination for the European Union
... Statement of CFTC Chairman Timothy Massad regarding Substituted Compliance Determination for the European Union March 16, 2016 Today, the CFTC has taken action to implement our agreement with the European Commission regarding requirements for central clearing counterparties (CCPs). Our…
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