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Federal Court Orders Defendants Arista LLC, Abdul Sultan Walji, and Reniero Francisco, All of Southern California, to Pay over $22 Million in Restitution and Fines for Commodity Pool Fraud and Making False Statements to the CFTC , 6786-13 |
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CFTC to Hold an Open Meeting to Consider Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds , 6785-13 |
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Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud , 6784-13 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6783-13 |
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Federal Court in Connecticut Orders Feisal Sharif to Pay over $3 Million to Settle Fraud Charges in CFTC Action , 6782-13 |
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Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 6781-13 |
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CFTC Announces Weekly Swaps Report , 6780-13 |
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Federal Court Sanctions David Prescott for Forex Pool Fraud , 6779-13 |
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CFTC Releases Rule Enforcement Review of North American Derivatives Exchange Inc. , 6778-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to LatAm SEF, LLC , 6777-13 |
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Federal Court in New York Orders MF Global Inc. to Pay over $1 Billion in Restitution to Customers of MF Global Inc. , 6776-13 |
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CFTC’s Division of Market Oversight Issues New Guidance on the Application of Certain Commission Regulations to Swap Execution Facilities , 6775-13 |
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CFTC Issues Final Rules for Derivatives Clearing Organizations to Align with International Standards , 6773-13 |
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CFTC’s Divisions of Clearing and Risk, Market Oversight and Swap Dealer and Intermediary Oversight Issue Guidance on the Application of Certain Commission Regulations to Swap Execution Facilities , 6772-13 |
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CFTC Staff Issues Advisory on the Applicability of Transaction-Level Requirements in Certain Cross-Border Situations , 6771-13 |
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Federal Court in California Orders Thomas B. Breen, a Principal of National Equity Holdings, Inc., to Pay $1.75 million to Settle Fraud Charges in CFTC Action , 6770-13 |
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Federal Court in Massachusetts Orders Lyndon Parrilla to Pay over $17 Million in Disgorgement, Restitution, and a Penalty in Forex Fraud Scheme , 6769-13 |
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CFTC Seeks Public Comment on Amended Request from CME Group to Amend Rule 538 (Exchange for Related Positions) , 6768-13 |
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CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, AlphaMetrix, LLC, Alleging Misappropriation of Pool Funds and Sending False or Misleading Statements , 6767-13 |
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CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation , 6766-13 |
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CFTC Issues Proposed Rule to Require All Registered Introducing Brokers, Commodity Pool Operators, and Commodity Trading Advisors to Become and Remain Members of a Registered Futures Association , 6765-13 |
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CFTC Charges Illinois Resident, CME Floor Broker and Trader James C. Yadgir with Violating Live and Feeder Cattle Futures Speculative Position Limits , 6764-13 |
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CFTC Approves Position Limits Proposals , 6763-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to Chicago Mercantile Exchange Inc. , 6762-13 |
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CFTC’s Division of Market Oversight Issues Extension of Certain Time-Limited No-Action Relief Regarding Swap Execution Facilities Provided by CFTC No-Action Letter Nos. 13-55 (amended), 13-56 and 13-58 for Swaps in the Foreign Exchange Asset Class , 6761-13 |
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CFTC Extending Period for Accepting Public Comment on Certification from Javelin SEF, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps , 6760-13 |
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CFTC Seeks Public Comment on Certification from MarketAxess SEF Corporation to Implement Available-to-Trade Determinations for Certain Credit Default Swaps , 6759-13 |
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CFTC Announces Mutual Acceptance of Approved Legal Entity Identifiers , 6758-13 |
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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6757-13 |
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CFTC Approves Limited Purpose Swap Dealer Designations for Cargill and an Affiliate , 6756-13 |
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CFTC Seeks Public Comment on Certification from TW SEF LLC to Implement Available-to-Trade Determinations for Certain Interest Rate and Credit Default Swaps , 6755-13 |
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Federal Court Orders California Man Jeffrey Gustaveson to Pay over $1.6 Million for Fraud Misappropriation, and False Account Statements in Commodity Pool Scheme , 6754-13 |
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Federal Court Orders Louis J. Giddens, Jr., Anthony W. Dutton, and Michael Gomez to Pay Combined Restitution and Penalties of over $400,000 for Foreign Exchange Currency Scheme , 6753-13 |
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Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor , 6752-13 |
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CFTC Requests Public Comment on an Application by Singapore Exchange Derivatives Clearing Limited for Registration as a Derivatives Clearing Organization , 6751-13 |
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CFTC’s Division of Clearing and Risk and Division of Market Oversight Provide Time-Limited No-Action Relief for swap execution facilities (“SEFs”) from compliance with certain requirements of Commission Regulations 37.9(a)(2) and 37.203(a) , 6750-13 |
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CFTC Releases Enforcement Division’s Annual Results , 6749-13 |
