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CFTC Orders Goldman, Sachs & Co., a Commission Registrant, to Pay $1.5 Million for Supervision Failures , 6450-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Obligation of Swap Dealers and Major Swap Participants to Provide the Pre-Trade Mid-Market Mark for Certain Foreign Exchange Transactions , 6449-12 |
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CFTC Charges Ray Thomas Brown with Fraud, Misappropriation, and Registration Violations in Operating Two Commodity Pool Scams , 6448-12 |
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CFTC Charges Hunter Wise Commodities, Lloyds Commodities, C.D. Hopkins Financial, United States Capital Trust, Newbridge Alliance, Blackstone Metals Group, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6447-12 |
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CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief With Respect To Equity Swaps, Foreign Exchange Swaps and Other Commodity Swaps, Due to Effects of Hurricane Sandy , 6446-12 |
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Federal Court in Idaho Orders CFTC Defendant Trigon Group, Inc. to Return More than $20.6 million of Ill-Gotten Gains to Victims of its Fraud , 6445-12 |
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Federal Court in New York Orders Defendants Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management to Pay over $1.8 Million for Fraud in Off-Exchange Foreign Currency Scheme , 6444-12 |
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CFTC Settles Charges against Deepak Singhal and Meera Singhal for Engaging in Illegal Trading Scheme , 6443-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues a No-Action Letter for Business Development Companies , 6442-12 |
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CFTC Files Complaint in Federal Court against Eric Moncada, BES Capital LLC, and Serdika LLC Alleging Attempted Manipulation of Wheat Futures Contract Prices, Fictitious Sales, and Non-Competitive Transactions , 6441-12 |
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CFTC Approves Order to Remove Interest Rate Asset Class from the Provisional Registration of ICE Trade Vault, LLC as a Swap Data Repository , 6440-12 |
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Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-border OTC Derivatives Market , 6439-12 |
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CFTC Approves Order to Add the Other Commodity Asset Class to the Provisional Registration of DTCC Data Repository (U.S.), LLC as a Swap Data Repository , 6438-12 |
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Federal Court Orders MBF Clearing Corp. to Pay $650,000 for Violating Customer Fund Segregation Requirements , 6437-12 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Concerning Bespoke or Complex Swaps , 6436-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time Limited No-Action Letters for Operators of Certain Funds of Funds , 6435-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action for Family Offices , 6434-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Amended No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities- , 6433-12 |
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Federal Court in New York Orders Marc Perlman and iGlobal Strategic Management, LLC to Pay over $2 Million for Solicitation Fraud and Misappropriation Involving Off-Exchange Foreign Currency and a Commodity Pool Ponzi Scheme , 6432-12 |
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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 , 6431-12 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief from Required Clearing for Swaps between Affiliated Counterparties , 6430-12 |
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CFTC Issues Clearing Determination for Certain Credit Default Swaps and Interest Rate Swaps , 6429-12 |
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CFTC Staff Withdraws Elements of the “Frequently Asked Questions on Reporting of Cleared Swaps” , 6428-12 |
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CFTC Seeks Public Comment on Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook , 6427-12 |
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CFTC Meeting Scheduled for November 29, 2012, Has Been Cancelled , 6426-12 |
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CFTC Orders Benjamin Hutchen, Formerly of Morgan Stanley & Co. LLC, to Pay a $300,000 Civil Monetary Penalty for Engaging in Unlawful Noncompetitive Futures Trades , 6425-12 |
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CFTC Charges Connecticut Resident Feisal Sharif with Operating a $5.4 Million Commodity Pool Ponzi Scheme and Misappropriating at least $900,000 of Pool Participants’ Funds , 6424-12 |
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CFTC Charges Ireland-based “Prediction Market” Proprietors Intrade and TEN with Violating the CFTC’s Off-Exchange Options Trading Ban and Filing False Forms with the CFTC , 6423-12 |
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CFTC Charges North Carolina Resident Michael Anthony Jenkins and his Company, Harbor Light Asset Management, LLC, with Solicitation Fraud, Misappropriation, and Embezzlement in Ponzi Scheme , 6422-12 |
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CFTC Approves Application of Chicago Mercantile Exchange, Inc. for Provisional Registration as a Swap Data Repository , 6421-12 |
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CFTC to Hold 2012 Research Conference to Discuss Key Issues in Derivatives Markets , 6420-12 |
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Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated , 6419-12 |
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CFTC to Hold Open Meeting to Consider Clearing Requirement Determination , 6418-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities , 6417-12 |
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CFTC Orders Eagle Market Makers Inc. to Pay over $223,000 in Penalties and Disgorgement to Settle Charges of Violating Corn Futures Speculative Position Limits and Failing to Supervise Traders , 6416-12 |
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CFTC Seeks Public Comment on Request from Natural Gas Exchange Inc. for an Amendment to its Order of Registration as a Derivatives Clearing Organization , 6415-12 |
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CFTC Staff Issues No-Action Letter Addressing Timeline for Swap Dealer Compliance with Swap Data Reporting Rules , 6414-12 |
