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Federal Court Orders Israeli Web-based Firms, Vault Options, Ltd. and Global Trader 365, to Pay More than $4.5 Million for Unlawful Off-Exchange Binary Options Trading, Fraud, and Registration Violations , 7414-16 |
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CFTC and Four Canadian Authorities Sign Counterparts to Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7413-16 |
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CFTC Proposes to Amend the Conditions for Exemption from Registration for Certain Foreign Persons , 7412-16 |
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CFTC Announces Fourth Whistleblower Award , 7411-16 |
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CFTC Staff Issues Advisory Clarifying Chief Compliance Officer Reporting Line Requirements , 7410-16 |
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CFTC Staff Issues Guidance to Clearinghouses on Recovery Plans and Wind-Down Plans , 7409-16 |
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CFTC Extends Designation of DTCC-SWIFT as LEI Provider , 7408-16 |
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CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in Total $7.2 Million in Restitution and a Civil Monetary Penalty for Solicitation Fraud and for Making False Statements to the National Futures Association , 7407-16 |
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CFTC Staff Approves a Public Comment Extension for a Rule Amendment Certification Filing by ICE Futures U.S. , 7406-16 |
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CFTC Orders Singapore-Based Agrocorp International Pte Ltd. to Pay $150,000 for Call Cotton Reporting Violations , 7405-16 |
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CFTC Orders Golden Agri International Pte Ltd. to Pay $150,000 for Failing to Report Cash Positions , 7404-16 |
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Federal Court in Illinois Orders Matthew J. Marcus and His California Company Tech Power Inc. to Pay a $250,000 Penalty for Engineering a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades , 7403-16 |
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CFTC Staff Issues Advisory Reminding Commission Registrants of Compliance Requirements Regarding Suspicious Activity Reporting and Economic Sanctions Programs , 7402-16 |
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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7401-16 |
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Federal Court Orders Nearly $17.5 Million in Sanctions against Naples, Florida Resident Dorian Garcia and his Companies for Solicitation Fraud, Misappropriation, and Registration Violations in Operating a Ponzi Scheme , 7400-16 |
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CFTC Releases Rule Enforcement Review of the CBOE Futures Exchange, LLC , 7399-16 |
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CFTC Charges Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Entities with Fraud, Misappropriation, Failing to Register with the CFTC, and Making Misrepresentations to the NFA , 7398-16 |
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CFTC Grants Registration to Clear Markets North America, Inc. , 7397-16 |
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CFTC Requests Public Comment on Swap Clearing Requirement Submissions , 7396-16 |
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Federal Court Orders Dante S. Giovannetti and His Companies Emini Experts, LLC and Capital Trading Concepts LLC to Pay over $2.7 Million in Restitution and Monetary Penalties for Commodity Pool Fraud and Other Violations of the Commodity Exchange Act , 7395-16 |
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CFTC Obtains Default Judgment Orders against Three Magee Family Members of Calgary, Alberta, Canada, for Commodity Pool Fraud , 7394-16 |
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Federal Court Orders Florida Resident Todd Owen Marshall, Harvard Assets LLC, London Assets Inc. & Harvard International Trading, Inc. to Pay More than $2.4 Mln for Engaging in Illegal, Off-Exchange Precious Metals Transactions & Registration Violations , 7393-16 |
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CFTC Reopens Comment Period for Certain Elements of Regulation AT , 7392-16 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for June 27 Public Meeting , 7391-16 |
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CFTC Requests Public Comment on a Rule Amendment Certification Filing by ICE Futures U.S. , 7390-16 |
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CFTC Approves Final Rule to Amend Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps , 7389-16 |
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CFTC Extends No-Action Relief to SEFs and DCMs from Certain CFTC Regulations for Correction of Errors , 7388-16 |
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CFTC Proposes Additional Interest Rate Swaps For Clearing Requirement , 7387-16 |
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CFTC’s Market Risk Advisory Committee to Meet on June 27, 2016 , 7386-16 |
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CFTC Charges Three Men and Their Florida-Based Berkley Companies with $2.7 Million Precious Metals and Rare Diamonds Fraud , 7385-16 |
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CFTC Signs MOU with the European Securities and Markets Authority Related to Recognized Central Counterparties , 7384-16 |
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Federal Court Orders Florida Resident Rico Omar Cox to Pay Over $940,000 and Imposes Permanent Trading and Registration Bans for Solicitation Fraud and False Statements in Commodity Futures Fraud Action Brought by CFTC , 7383-16 |
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CFTC Charges Haena Park and Her Companies Phaetra Capital GP LLC, a/k/a/ Argenta Capital GP LLC, Phaetra Capital Management LP, a/k/a Argenta Capital LLC, and Argenta Group LLC with Misappropriation and Fraud , 7382-16 |
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CFTC to Reopen Comment Period for Specific Elements of Regulation Automated Trading , 7381-16 |
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CFTC Orders Bitfinex to Pay $75,000 for Offering Illegal Off-Exchange Financed Retail Commodity Transactions and Registration Violations , 7380-16 |
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CFTC Issues Two Entities Orders of Foreign Board of Trade Registration to Permit Trading By Direct Access from the U.S. , 7379-16 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Shanghai Clearing House , 7378-16 |
