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Commodity Futures Trading Commission Seeks Public Comment on Proposed Procedures for Requesting Exemptive, No-Action and Interpretative Letters 4097-98 , January 13, 1998 , 4097-98 |
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RESPONDENTS ORDERED TO PAY $460,000 IN CIVIL FINES FOR ROLE IN INTERNATIONAL COMMODITY SCHEMES AND BARRED FROM THE COMMODITIES INDUSTRY FOR AIDING AND ABETTING FRAUD BY TWO GERMAN-BASED BROKERAGE FIRMS, 4096-98 (CFTC Docket 95-8 and 95-9) , January 12, 1998. , 4096-98 |
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CFTC Appoints Chairperson Born as Chair of its Financial Products Advisory Committee and Commissioner Spears as Chair of its Agricultural Advisory Committee , 4095-98 |
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CFTC Proposes to Amend its Regulation 1.35(a-1) to Permit Regulated Investment Managers to Place Bunched Orders for Futures and Futures Option Contracts Without Individual Account Identifiers and to Allocate Those Orders on a Post-Trade Basis , 4094-98 |
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Commodity Futures Trading Commission Issues a Concept Release on the Denomination of Customer Funds and the Location of Depositories , 4093-98 |
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CFTC Seeks Public Comment on Proposed Amendments to Rule 1.12 That Will Require an FCM to notify Immediately the CFTC When it Becomes Undersegregated or Undersecured 4092-98 , January 7, 1998 , 4092-98 |
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CFTC Files Complaint Charging New York Currency Research Corporation with Failure to Produce Books and Records , 4089-97 (CFTC Docket #98-3) |
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CFTC Files Administrative Complaint Against Reifler Trading Corp., Liberty Futures, Inc., and Three Individuals Alleging Unregistered "Correspondent" Relationships, Among Other Violations of Federal Commoidty Law and CFTC Regulations, , 4088-97 (CFTC Docket #98-2) |
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Commodity Futures Trading Commission Proposes Repealing Commission Reugulation 33.4(a)(2) in Order to Permit the Futures-Style Margining of Commodity Options Traded on Regulated Futures Exchanges , 4087-97 |
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Ohio Court Permanently Bars Allied Financial Group, Inc (AFG) of Powell, Ohio, and Robert Bobo from the Futures Industry; AFG and Bobo Agree to Pay Restitution to Defrauded Investors , 4086-97 (C2-94-981) |
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CFTC Provides Guidance to NFA Concerning Floor Broker and Floor Trader Cases , 61-97 |
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Linda J. Ferren Appointed Executive Director of CFTC , 4085-97 |
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CFTC Requests Public Comment on Draft Proposed Revisions by the CBT to Corn and Soybean Futures Contracts , 4084-97 |
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CFTC Files Civil Action Against James M. Zoller and Tech-Comm Limited Partnerships For Fraud: Court Issues Preliminary Injunction , 4083-97 (Civ 97-5691) |
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CFTC Charges Florida Companies, Three Principals, With Nationwide Telemarketing Scheme Involving Illegal Off-exchange Futures Contracts in Precious Metals, Heating Oil, Other Commodities , 4082-97 (Civ 97-7422) |
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Florida Court Finds Richard E. Maseri in Contempt for His Transfer of Frozen Assets in Violation of Consent Order of Preliminary Injunction; Maseri Is Ordered to Pay $33,000 , 4081-97 (Civ 95-6970) |
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Chairperson Born Expresses Appreciation to Commissioner Joseph Dial , 4080-97 |
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Michigan Court Issues Permanent Injunction Finding That Daniel M. O'Shaughnessey Defrauded Pool Customers of Over $435,000 , 4079-97 |
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CFTC's Financial Products Advisory Committee to Meet on November 13, 1997 , 4078-97 |
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CFTC Orders the Chicago Board of Trade to Change Delivery Specifications For Its Corn and Soybean Futures Contracts , 4077-97 |
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CFTC Issues Order Granting CME a Dual Trading Exemption for the S&P 500 Futures Contract Market and A Proposed Order Granting CME Conditional Dual Trading Exemptions for Seven Other High-Volume Contract Markets , 4076-97 |
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CFTC Issues Proposed Order Granting CBT Conditional Dual Trading Exemptions for 13 High-Volume Contract Markets , 4075-97 |
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Pennsylvania Court Issues Permanent Injunction Against Robert H. Rutman in CFTC Anti-Fraud Enforcement Action, Effectively Barring Him From the Futures Industry , 4074-97 |
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CFTC Notifies the New York Futures Exchange of the Results of A Rule Enforcement Review , 4073-97 |
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Year 2000 Computer Problem , 55-97 |
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Commodity Derivatives Regulator Publish Guidance on Strengthening the Supervision of International Markets , 4072-97 |
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CFTC ALJ Finds First Commercial Financial Group, Inc. (FCFG) Mark E. Rehn and John A. Hermanson Liable for Violating Capital Requirements and Filing False Reports in Connection With Check-Kiting Scheme , 54-97 |
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CFTC Accepts Settlement Offer of Edward T. Hamlet of Boca Raton, Florida Finding The He Aided and Abetted Commodity Fraud , 4071-97 (CFTC Docket No. 94-14) |
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CFTC Proposes Pilot Program for Agricultural Trade Options , 4070-97 |
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CFTC's Agricultural Advisory Committee to Meet on October 29, 1997 , 4069-97 |
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Memorandum of Understanding Between the SEC, CFTC, Bank of England and Financial Services Authority , 4068-97 |
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CFTC Make Its Strategic Plan Available , 51-97 |
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CFTC Files Civil Injunctive Complaint and Motion of Preliminary Injunction Against Brien Sullivan of Honolulu, Hawaii , 4067-97 (97-Civ-01478) |
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CFTC Charges Global Link Miami Corporation and Three Individuals with Fraud in the Offer and Sale of Illegal Futures Contracts , 4066-97 (CFTC Docket 98-1) |
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U.S. District Court Grants Summary Judgment to CFTC in Fraud Action Against Richard E. Maseri of Boca Raton, FLA., and Private Research, Inc. , 4065-97 |
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The CFTC and The German Bundesaufsichtsamt Für Den Wertpapierhandel Sign Mou , 4064-97 |
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Preliminary Injunction Entered Against FTI Financial Group of Toledo, Ohio, and Three of Its Partners in CFTC Anti-Fraud Enforcement Action , 4063-97 |
