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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to tpSEF Inc. and Tradition SEF, Inc. , 6710-13 |
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CFTC Closes Investigation Concerning the Silver Markets , 6709-13 |
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CFTC Charges ICAP Europe Limited, a Subsidiary of ICAP plc, with Manipulation and Attempted Manipulation of Yen Libor , 6708-13 |
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CFTC Issues Order of Temporary Registration as a Swap Execution Facility to INFX SEF Inc. , 6707-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $140,000 Civil Monetary Penalty for Failing to Diligently Supervise its Employees , 6706-13 |
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CFTC Orders Florida Company Newbridge Metals, LLC to Pay over $1.5 Million in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6705-13 |
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CFTC Certifies Futures Contract on S&P BSE 100 Index Submitted by BSE Ltd (BSE) , 6704-13 |
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CFTC’s Division of Clearing and Risk Issues Time Limited No-Action Letter for LCH.Clearnet Ltd and its Clearing Members , 6703-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to 360 Trading Networks Inc. , 6702-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to trueEX, LLC and ICE Swap Trade, LLC , 6701-13 |
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CFTC Orders Foremost Trading LLC, an Introducing Broker, to Pay $400,000 for Supervision Violations , 6700-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to Javelin SEF, LLC and BGC Derivative Markets, L.P. , 6699-13 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to TeraExchange, LLC , 6698-13 |
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CFTC Orders FXDirectDealer, LLC to Pay $2.74 Million for Supervision Failures Relating to Trading Platform , 6697-13 |
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CFTC Seeks Public Comment on Request from CME Group to Amend Rule 538 (Exchange for Related Positions) , 6696-13 |
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CFTC Certifies Futures Contracts on the CES China 120 Index and the HSI Volatility Index Submitted by Hong Kong Futures Exchange Limited (HKFE) , 6695-13 |
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CFTC Announces Vincent A. McGonagle as Director of the Division of Market Oversight , 6694-13 |
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CFTC Orders Futures Broker Employee Susan Butterfield to Pay $50,000 Penalty in Settlement of Charges of Making False Statements to the CFTC During Her Investigative Testimony , 6693-13 |
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CFTC Issues Notices of Temporary Registration as a Swap Execution Facility to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation , 6692-13 |
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Euronext Amsterdam’s AEX-Index Mini Futures Contract and Euronext Paris’s CAC40 Index Mini Futures Contract have been Deemed Certified and may be Offered to U.S. persons through Direct Access Effective September 13, 2013 , 6691-13 |
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Federal Court Orders Alex Ekdeshman and Paramount Management, LLC, to Pay over $2.4 million in Restitution and a Fine for Fraudulent Foreign Currency Scheme , 6690-13 |
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CFTC Releases Rule Enforcement Review of ELX Futures, L.P. , 6689-13 |
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CFTC Releases Rule Enforcement Review of the Minneapolis Grain Exchange, Inc. , 6688-13 |
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CFTC Releases Rule Enforcement Review of the CBOE Futures Exchange , 6687-13 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6686-13 |
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CFTC Issues Notices of Temporary Registration as Swap Execution Facilities to TW SEF LLC and DW SEF LLC , 6685-13 |
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CFTC Announces that the Third Phase of Mandatory Clearing of Certain Credit Default Swaps and Interest Rate Swaps Begins Today , 6684-13 |
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CFTC Publishes Concept Release on Risk Controls and System Safeguards for Automated Trading Environments , 6683-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Commodity Pool Operators of Registered Funds with Controlled Foreign Corporations , 6682-13 |
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CFTC Orders Florida Resident Matthew L. Hall to Pay over $200,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6681-13 |
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CFTC Orders Florida Resident Isaac Grossman and His Company, London Metals Market LLC, to Pay over $121,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6680-13 |
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CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 Penalty for Failing to Maintain Adequate Funds in Secured Accounts in Connection with Conversion by Exchange of Certain Off-Exchange Instruments to On-Exchange Products , 6679-13 |
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OTC Derivatives Regulators Issue Report to the G20 , 6678-13 |
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Federal Court Orders Matthew Marshall Taylor to Pay $500,000 for Fraud for Fabricating and Concealing Trades from Goldman, Sachs & Co., His Former Employer, and Obstructing Their Discovery , 6677-13 |
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Federal Court in Maryland Orders Sidney J. Charles, Jr. and his Company, The Borrowing Station, LLC, to pay over $600,000 to Settle CFTC Forex Fraud Action , 6676-13 |
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CFTC Permanently Bars Accountant, Jeannie Veraja-Snelling, for Failing to Properly Audit Peregrine Financial Group, Inc. , 6675-13 |
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Velocity Futures, LLC Agrees to Pay a $300,000 Penalty to Settle Charges that It Failed to Comply with Its Minimum Financial Requirements , 6674-13 |
