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Federal Court Orders Commodity Pool Operator and Commodity Trading Advisor AlphaMetrix, LLC to Pay $5.6 Million in Restitution and Penalties , 7083-14 |
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CFTC Approves LCH.Clearnet Ltd’s Amended Order of Registration as a Derivatives Clearing Organization , 7082-14 |
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CFTC Announces Departure of DSIO Director Gary Barnett , 7081-14 |
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Federal Court Orders Missouri Resident Daniel K. Steele and His Missouri Company, Champion Management International, LLC, to Pay over $2.5 Million in Monetary Sanction , 7080-14 |
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CFTC Staff Issues Time-Limited No-Action Relief from Certain Recordkeeping Requirements under Commission Regulation 1.35(a) , 7079-14 |
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CFTC Requests Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility , 7078-14 |
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CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay a $600,000 Penalty for Series of Minimum Net Capital Deficits, Untimely Notice, and a Failure to Supervise , 7077-14 |
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Federal Court Orders More than $1.3 Million in Sanctions and Enters a Default Judgment Order against Florida-Based Gold Distributors, Inc. and Its Owner, Jordan Cain, for Engaging in Illegal, Off-Exchange Commodity Transactions , 7076-14 |
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CFTC Announces Agenda for Upcoming Agricultural Advisory Committee Meeting , 7075-14 |
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Paul Greenwood Sentenced to 10 Years in Federal Prison for Billion-Dollar Investment Scam , 7074-14 |
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CFTC Orders Pennsylvania Resident Christopher A. Engel and Pinnacle Forex Group LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $819,000 for Engaging in Commodity Pool Fraud and Misappropriation , 7073-14 |
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CFTC to Reopen Comment Period for Position Limit Rulemaking , 7072-14 |
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CFTC Staff Provides No-Action Relief from the Clearing Requirement for Swaps Entered into by Eligible Treasury Affiliates , 7071-14 |
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CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws , 7070-14 |
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CFTC Seeks to Revoke the Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wilkins’ Related Criminal Conviction , 7069-14 |
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CFTC Staff Issues No Action Relief for Family Offices from Commodity Trading Advisor Registration , 7068-14 |
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CFTC Charges California Resident Thomas Gillons with Fraud and Acting as an Unregistered Futures Commission Merchant , 7067-14 |
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CFTC DMO Issues Rule Enforcement Reviews of the Chicago Board of Trade, Chicago Mercantile Exchange, Commodity Exchange, Inc. and New York Mercantile Exchange, Inc. , 7066-14 |
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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 and Switzerland , 7065-14 |
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CFTC Reinstates NASDAQ Futures, Inc. as a Designated Contract Market , 7064-14 |
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CFTC Launches National Campaign to Protect Consumers from Financial Fraud , 7063-14 |
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CFTC Commissioner Sharon Y. Bowen Seeks Public Comment on Scope and Composition of New Advisory Committee , 7062-14 |
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CFTC Agricultural Advisory Committee to Meet on December 9, 2014 , 7061-14 |
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CFTC Staff Issues Extension to Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 7060-14 |
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CFTC Staff Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 7059-14 |
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CFTC Staff Issues No-Action Position and Interpretations Addressing the Holding of Customer Funds , 7058-14 |
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CFTC Sanctions Rosenthal Collins Group for Supervision Violations , 7057-14 |
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CFTC Orders Five Banks to Pay over $1.4 Billion in Penalties for Attempted Manipulation of Foreign Exchange Benchmark Rates , 7056-14 |
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CFTC Further Implements Trade Execution Requirement , 7055-14 |
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OTC Derivatives Regulators Issue Report to the G20 Leaders , 7054-24 |
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CFTC Staff Provide Time-Limited No-Action Relief for Certain Affiliated Counterparties , 7053-14 |
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Federal Court in Florida Freezes Assets of Emini Experts LLC, Capital Trading Concepts LLC, Dante S. Giovannetti, and Relief Defendant Capital Futures LLC in Ongoing Fraud Scheme , 7052-14 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2014 , 7051-14 |
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CFTC Staff Issues Time-Limited No-Action Relief to Allow Southwest Airlines and its Counterparties Additional Time for Public Reporting of Long-Dated Brent and WTI Crude Oil Swap and Swaption Contracts Executed by or with Southwest Airlines , 7050-14 |
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CFTC Staff Issues Interpretation Regarding Notification and Reporting Requirements Applicable with Respect to Uncleared Swap Transactions , 7049-14 |
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CFTC Staff Issues an Extension of Time Limited, No-Action Relief to Futures Commission Merchants , 7048-14 |
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CFTC Staff Provides No-Action Relief for Victoria University of Wellington, New Zealand, to Operate a Not-For-Profit Market for Event Contracts and to Offer Event Contracts to U.S. Persons , 7047-14 |
