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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief for Swap Dealers Doing Business in EU , 7525-17 |
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CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation , 7524-17 |
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CFTC Acting Chairman Giancarlo Announces Amir Zaidi as Director of the Division of Market Oversight , 7523-17 |
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CFTC General Counsel Jonathan L. Marcus to Depart Agency , 7522-17 |
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CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise , 7521-17 |
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CFTC Extends Public Comment Period for the Supplemental Proposal for Regulation Automated Trading , 7520-17 |
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CFTC Names J. Christopher Giancarlo Acting Chairman , 7519-17 |
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CFTC’s Enforcement Division Issues New Advisories on Cooperation , 7518-17 |
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Enforcement Director Aitan Goelman to Leave CFTC , 7517-17 |
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CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures , 7516-17 |
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CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations , 7515-17 |
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CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps , 7514-17 |
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CFTC Unanimously Approves Proposals on Swaps Data and Other Amendments , 7513-17 |
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CFTC Unanimously Approves Proposal to Amend Recordkeeping Requirements , 7512-17 |
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CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures , 7511-17 |
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CFTC Issues Order of Registration for ICE Endex Markets B.V. to Permit Trading by Direct Access from the U.S. , 7510-17 |
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Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme , 7509-17 |
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Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for his Role in MF Global’s Unlawful Use of Nearly $1 Billion of Customer Funds and Prohibits Corzine from Registering with the CFTC in any Capacity or Associating with an FCM , 7508-17 |
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CFTC Chairman Timothy Massad Announces Resignation as Chairman , 7507-17 |
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CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme , 7506-16 |
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CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7505-16 |
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Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges , 7504-16 |
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CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme , 7503-16 |
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CFTC Staff Issues Time-Limited No-Action Relief for Derivatives Clearing Organizations and Other Reporting Entities from Certain Obligations on Cleared Swap Reporting , 7502-16 |
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CFTC Staff Issues Time-Limited No-Action Relief for Entities Submitting Swaps for Clearing with Derivatives Clearing Organizations Acting under Exemptive Orders or No-Action Relief , 7501-16 |
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool , 7500-16 |
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CFTC Staff Issues No-Action Relief from the Inter-Affiliate Exemption from Required Clearing for Affiliated Counterparties Located in Australia or Mexico , 7499-16 |
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Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud , 7498-16 |
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CFTC Releases Rule Enforcement Review of ICE Futures U.S. , 7497-16 |
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions , 7496-16 |
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CFTC Reproposes Position Limits Rule , 7495-16 |
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CFTC Unanimously Approves Proposed Rules Establishing Swap Dealer and Major Swap Participant Capital Requirements , 7494-16 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Relating to the Use of a Consolidated Risk Disclosure Statement for Non-institutional Customers , 7493-16 |
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CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme , 7492-16 |
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CFTC Grants CME Clearing Europe Registration as a Derivatives Clearing Organization , 7491-16 |
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CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties , 7490-16 |
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CFTC Staff Issues Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland , 7489-16 |
