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CFTC Staff to Hold Roundtable on Certain Elements of Regulation AT , 7377-16 |
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CFTC Orders Florida Residents Ted L. Romeo, Richard D. Schrutt, and Their Company Cypress Wealth Management Group, Inc. to Pay Restitution and Civil Monetary Penalties Totaling More than $530,000 in Precious Metals Enforcement Action , 7376-16 |
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CFTC Grants Registration to 3 Swap Execution Facilities , 7375-16 |
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CFTC Approves Supplement to Position Limits Proposal to Permit Exchanges to Recognize Non-enumerated Bona Fide Hedges , 7374-16 |
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Federal Court Orders California Resident David Bryant to Pay More than $6 Million in Restitution and Penalties for Fraud and Misappropriation , 7373-16 |
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CFTC Orders Citibank, N.A. and Japanese Affiliates to Pay $175 Million Penalty for Attempted Manipulation of Yen LIBOR and Euroyen TIBOR, and False Reporting of Euroyen TIBOR and U.S. Dollar LIBOR , 7372-16 |
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CFTC Orders Citibank to Pay $250 Million for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7371-16 |
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CFTC Issues Final Cross-Border Margin Rule , 7370-16 |
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CFTC Staff Issues Residual Interest Deadline Report , 7369-16 |
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CFTC’s Division of Market Oversight Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 7368-16 |
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CFTC Issues Proposed Amendment to the 2013 Final Order Regarding RTOs and ISOs , 7367-16 |
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CFTC Orders Chicago-based Cunningham Commodities, LLC and its Controller Salvatore Carmen Russo Jointly to Pay a $150,000 Penalty for Failing to Immediately Report a Customer Segregated Account Deficiency , 7366-16 |
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CFTC Approves Final Rule on Amendments to the Swap Portfolio Reconciliation Requirement , 7365-16 |
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CFTC and Three Canadian Authorities Sign Counterparts to MOU to Enhance Supervision of Cross-Border Regulated Entities , 7364-16 |
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CFTC Announces Additional Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents in Forex and Binary Options , 7363-16 |
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CFTC Chairman Announces Dan Rutherford as Director of the Office of Customer Education and Outreach , 7362-16 |
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CFTC Orders New York Resident Nathan Schleifer and Galileo Trading to Pay Restitution and Penalties Totaling More than $1.6 Million for Commodity Futures Fraud , 7361-16 |
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CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and Disgorgement for Aiding and Abetting Commodity Pool Fraud , 7360-16 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for April 26 Public Meeting , 7359-16 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Regarding Masking Certain Information Reportable under the OCR Final Rule , 7358-16 |
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CFTC’s Division of Market Oversight Issues Further Actions Concerning Implementation of the Ownership and Control (OCR) Final Rule , 7357-16 |
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CFTC’s 2016 SmartCheck Week to Emphasize Continual Background Checks of Financial Professionals , 7356-16 |
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CFTC Orders Staten Island-Resident Michael Pucciarelli and his Company, Badge Trading LLC, to Pay a $280,000 Penalty for Engaging in Unlawful Noncompetitive Exchange for Physical Transactions , 7355-16 |
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CFTC’s Market Risk Advisory Committee to Meet on April 26, 2016 , 7354-16 |
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Federal Court Orders UAE Residents Heet Khara and Nasim Salim to Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets , 7353-16 |
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CFTC Approves Proposed Guidance Relating to the Appropriate Treatment of Certain Electric Power and Natural Gas Contracts , 7352-16 |
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CFTC Announces Whistleblower Award of More Than $10 Million , 7351-16 |
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CFTC Charges Georgia Resident Hendrik A. Van Beuningen and His Company, DeBrink Trading Fund I, LLC, with Fraud, Misappropriation, and Registration Violations in Connection with Their Commodity Pool , 7350-16 |
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CFTC Approves a Final Rule Providing an Alternative to Fingerprinting for Foreign Natural Persons , 7349-16 |
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CFTC Charges Virginia Resident Tracy Lee Thomas and His Firm, Cayman Islands-Based Marbury Advisors Inc., with Fraudulently Soliciting over $1.2 Million in a Commodity Futures Scheme , 7348-16 |
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CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan Chase Bank, N.A. to Pay a $225,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7347-16 |
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Federal Court Orders Former Alabama Resident John David Stroud and His Companies to Pay More than $4.7 Million in Restitution and a Civil Monetary Penalty for Committing Commodity Pool Fraud and Misappropriation , 7346-16 |
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CFTC Orders Payment of Penalties Totaling $665,000 by Credit Suisse International for Violating the Speculative Position Limit for Wheat Futures and by Credit Suisse Securities (USA) LLC for Submitting False or Misleading Information to the CFTC , 7345-16 |
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CFTC and EPA Enter Into a Memorandum of Understanding , |
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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions , 7344-16 |
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CFTC Approves Final Rule to Amend the Trade Option Exemption by Eliminating Certain Reporting and Recordkeeping Requirements for End-Users , 7343-16 |
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CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU , 7342-16 |
