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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Permitting Part 45 and Part 46 Reporting Counterparties to Mask Legal Entity Identifiers, Other Enumerated Identifiers and Other Identifying Terms, and Permitting Part 20... , 6634-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief from Portfolio Reconciliation Requirements , 6633-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Corrected No-Action Letter on Relief from Certain External Business Conduct Standards and Documentation Standards , 6632-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Relief for Swap Dealers in Connection with Foreign Exchange Intermediated Prime Brokerage Arrangements , 6631-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief from Certain Swap Trading Relationship Documentation Standards with Foreign Exchange Counterparties , 6630-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio , 6629-13 |
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CFTC’s Division of Market Oversight Issues Extension of Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Requirements of Part 45 for CDS Clearing-Related Swaps , 6628-13 |
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CFTC’s Division of Market Oversight Issues Extension of Time-Limited No-Action Relief Concerning Bespoke or Complex Swaps , 6627-13 |
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CFTC Charges MF Global Inc., MF Global Holdings Ltd., Former CEO Jon S. Corzine, and Former Employee Edith O’Brien for MF Global’s Unlawful Misuse of Nearly One Billion Dollars of Customer Funds and Related Violations , 6626-13 |
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CFTC’s Division of Market Oversight Extends Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations , 6625-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief from Certain External Business Conduct Standards and Documentation Standards , 6624-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers , 6623-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Concerning Terms that May Be Excluded from Portfolio Reconciliation , 6622-13 |
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Federal Court in Colorado Orders Michael Gale to Pay More than $1.2 Million to Settle Fraud Charges in CFTC Enforcement Action , 6621-13 |
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Federal Court Orders Alpha Trade Group S.A. and its Employees and Agents to Pay Combined Restitution and Penalties of $5.779 Million for Defrauding Pool Participants , 6620-13 |
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Federal Court Orders Chicago Resident Christopher Varlesi to Pay over $1.3 Million to Settle Ponzi Scheme Fraud and Misappropriation Action , 6619-13 |
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CFTC Charges North Carolina Resident C. David Wright with Commodity Pool Fraud , 6618-13 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6617-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States , 6616-13 |
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Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes , 6615-13 |
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CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures , 6614-13 |
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Federal Court in Puerto Rico Orders Angel F. Collazo, ACJ Capital, Inc., and Solid View Capital LLC to Pay over $1.5 Million to Settle Forex Fraud Charges in CFTC Enforcement Action , 6613-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Provide for Transition to SEF Registration , 6612-13 |
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CFTC Certifies Futures Contracts on the MSCI World Index, MISCI Europe Index, MSCI Japan Index, and the MSCI All Countries Asia Pacific ex-Japan Index Submitted by Eurex Deutschland , 6611-13 |
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CFTC Charges North Carolina Resident James A. Shepherd and James A. Shepherd, Inc. with Commodity Pool Fraud , 6610-13 |
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CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator , 6609-13 |
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CFTC Provides For Mutual Acceptance of Approved Legal Entity Identifiers , 6608-13 |
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CFTC Announces that Mandatory Clearing for Category 2 Entities Begins Today , 6607-13 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief to Banks Having Assets of Less Than $10 Billion from the Board Approval Requirement of the CEA and the End-User Exception to the Clearing Requirement , 6606-13 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Corporación Andina de Fomento , 6605-13 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6604-13 |
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CFTC’s Division of Clearing and Risk Issues an Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities , 6603-13 |
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CFTC Charges “Prediction Market” Proprietor Banc de Binary with Violating the CFTC’s Off-Exchange Options Trading Ban and Operating as an Unregistered Futures Commission Merchant , 6602-13 |
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CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws , 6601-13 |
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CFTC Files Amended Complaint Which Adds Charge That Defendants Arista LLC, Abdul Sultan Walji and Reniero Francisco of California Made False Statements to the CFTC , 6600-13 |
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Federal Court Orders Utah Residents Christopher D. Hales, Eric A. Richardson and their Company Bentley Equities, LLC to Pay More Than $2.7 Million in Sanctions for Fraud , 6599-13 |
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CFTC’s Division of Clearing and Risk Provides No-Action Relief from the Clearing Requirement for Swaps Entered into by Eligible Treasury Affiliates , 6598-13 |
