Displaying results 761 - 770 of 1186
Supporting Statement of Commissioner Brian D. Quintenz Regarding Final Rule: Derivatives Clearing Organization General Provisions and Core Principles
...Supporting Statement of Commissioner Brian D. Quintenz Regarding Final Rule: Derivatives Clearing Organization General Provisions and Core Principles December 18, 2019   I am pleased to support today’s final rule that amends the Commissions regulations governing derivatives clearing organizations (DCOs).[1]  Before highlighting aspects of the final rule, I would like to…
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Remarks of Chairman Timothy Massad before the ISDA 30th Annual General Meeting
... Remarks of Chairman Timothy Massad before the ISDA 30th Annual General Meeting April 23, 2015 As Prepared For Delivery Thank you for inviting me today, and I thank Eric for that kind introduction. It’s a pleasure to be here. It is thirty years since ISDA was created, and…
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Keynote Address by Commissioner Scott D. O’Malia, SIFMA Compliance and Legal Society Annual Seminar
... CFTC’s Implementation of Dodd-Frank — Grading Agency Transparency Keynote Address by Commissioner Scott D. O’Malia, SIFMA Compliance and Legal Society Annual Seminar March 19, 2013 I want to thank Stephen Strombelline for his kind introduction and for inviting me to speak at this…
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“Trimming the Tree—Regulation and Recovery”
… doing business, right? Quite frankly, I’m tired of seeing settlements be so meager when we see all of the malfeasance … to adjust requested fines (and to negotiate appropriate settlements) to be meaningful deterrents. Right now, we …
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Further Product Definitions
… SEC     02/17/2011 9:30 AM More Info Bank for International Settlements (BIS) Davis Polk & Wardwell LLP (Davis Polk) … SEC     02/17/2011 9:30 AM More Info Bank for International Settlements (BIS) Davis Polk & Wardwell LLP (Davis Polk) …
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Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC
... Release: 5538-08 For Release: September 2, 2008 Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC)…
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Statement on Support of Advanced Notice of Proposed Rulemaking on the Authority to Designate Financial Market Utilities as Systemically Important
... Statement on Support of Advanced Notice of Proposed Rulemaking on the Authority to Designate Financial Market Utilities as Systemically Important Chairman Gary Gensler November 23, 2010 I support the advanced notice of proposed rulemaking on the Authority to Designate Financial…
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CFTC Sanctions Former Metals Trader for Defrauding General Motors
... September 20, 2010 CFTC Sanctions Former Metals Trader for Defrauding General Motors Former General Motors executive Daniel J. Bealko personally profited by $6.5…
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Gage’s Fertilizer & Grain, Inc., a Missouri Grain Elevator, and its President-Owner, Steven W. Gage, to Pay $175,000 to Settle CFTC Charges of Violating Registration Requirements
... July 22, 2010 Gage’s Fertilizer & Grain, Inc., a Missouri Grain Elevator, and its President-Owner, Steven W. Gage, to Pay $175,000 to Settle CFTC Charges of Violating…
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Remarks of Commissioner James E. Newsome before the Mississippi Agricultural Economics Association, Mississippi State University
...Remarks of Commissioner James E. Newsome before the Mississippi Agricultural Economics Association, Mississippi State University June 24, 1999 Introduction Thank you for the opportunity to be here with you today. I would like to thank Dr. Marty Fuller for inviting me to this conference, and all of the people who organized and planned today's activities. I firmly believe that this…
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