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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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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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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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CFTC Exercises Authority to Apply Regulations to Exempt Commercial Markets with Significant Price Discovery Contracts
... Release: 5683-09 For Release: July 27, 2009 CFTC Exercises Authority to Apply Regulations to Exempt Commercial Markets with Significant Price Discovery Contracts CFTC Announces Its Determination that the Henry Financial LD1 Fixed Price Contract Traded on the Intercontinentalexchange, Inc., Performs a Significant Price Discovery…
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CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract
... Release: 5511-08 For Release: June 17, 2008 CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract Amended Foreign Access Relief Establishes New Standard Washington, DC – Today, the Commodity Futures Trading Commission (CFTC or Commission) announced that Commission staff has amended…
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CFTC Sanctions Rosenthal Collins Group for Supervision Violations
... November 13, 2014 CFTC Sanctions Rosenthal Collins Group for Supervision Violations Firm Ordered to Disgorge More than $100,000 in Commissions and Pay $700,000…
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CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action
... September 16, 2014 CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action Washington, DC – The U.S.…
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CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme
... December 21, 2010 CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Penalties Totaling $700,000 for Engaging in a…
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