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CFTC/SEC Staff Release Preliminary Joint Findings on May 6 Unusual Market Events , 5825-10 |
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CFTC Announces Participants for Meeting to Consider the Trading of Contracts Based on Motion Picture Box Office Receipts and Hear the Views of Interested Parties , 5824-10 |
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Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on Monday, May 24, 2010 , 5823-10 |
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CFTC’s Division of Clearing and Intermediary Oversight Publishes Guidance on the Application Procedure for a Regulation 30.10 Exemption , 5822-10 |
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CFTC to Hold Open Meeting to Consider the Trading of Contracts Based on Motion Picture Box Office Receipts and Gather Views of Interested Parties , 5821-10 |
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CFTC and SEC Announce Creation of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues , 5820-10 |
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CFTC’s Division of Market Oversight Issues Advisory Regarding Intraday Speculative Position Limits , 5819-10 |
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Federal Court Orders More than $3.8 Million in Sanctions against North Carolina Defendant Tyrone McCall and Two Entities He Controlled to Settle a CFTC Anti-Fraud Action , 5818-10 |
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The CFTC Sanctions Noble Americas Corp. $130,000 for Wash Sales Trading on the New York Mercantile Exchange and Causing Non Bona Fide Prices to Be Reported , 5817-10 |
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Morgan Stanley Capital Group, Inc. to Pay a $14 Million Civil Penalty to Settle CFTC Charges that the Company Concealed a Large Block Crude Oil Trade , 5816-10 |
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Hedge Fund Moore Capital Management, LP, and Its Affiliates Moore Capital Advisors, LLC and Moore Advisors, Ltd., Ordered to Pay a $25 Million Penalty to Settle CFTC Charges of Attempted Manipulation of Platinum and Palladium Futures Settlement Prices , 5815-10 |
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CFTC Determines that Seven Contracts Traded on the IntercontinentalExchange Inc are Significant Price Discovery Contracts , 5814-10 |
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CFTC Charges Carmine Garofalo with Illegal Trading on a U.S. Exchange , 5813-10 |
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San Diego Gas & Electric Company Agrees to Pay a Civil Penalty to Settle CFTC Charge that it Engaged in Wash Sales in the Natural Gas Futures Markets , 5812-10 |
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CFTC Approves Cantor Futures Exchange, L.P. and Cantor Clearinghouse, L.P. , 5811-10 |
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CFTC to Hold Public Meeting to Consider Significant Price Discovery Contract Determinations , 5810-10 |
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CFTC Approves Media Derivatives, Inc. Designated Contract Market Application , 5809-10 |
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Federal Regulators Release Model Consumer Privacy Notice Online Form Builder , 5808-10 |
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CFTC Charges Florida Resident Claudio Aliaga and His Company, CMA Capital Management, LLC, with Operating a Foreign Currency Ponzi Scheme , 5807-10 |
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CFTC Files Enforcement Action against Singapore National Kuen Cheol Song for Engaging in an Illegal Trading Scheme , 5806-10 |
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Charleston, South Carolina-based Defendants Ordered to Pay More than $3.9 Million in Restitution and Civil Penalties to Resolve 2008 CFTC Anti-Fraud Action , 5805-10 |
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CFTC Launches New Website Designed to Improve Access to Market and Agency Information , 5804-10 |
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CFTC Approves Final Rules Creating a Separate Account Class for Customer Positions in Cleared OTC Derivatives , 5803-10 |
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Charlottesville, Virginia-based Defendants Ordered to Pay More than $4.6 Million in Disgorgement and Civil Penalties to Settle 2009 CFTC Anti-Fraud Action , 5802-10 |
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CFTC Charges Ohio-based Defendants Enrique Villalba, Jr., and Money Market Alternative, LP, with Operating a Multi-Million Dollar Futures Ponzi Scheme , 5801-10 |
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Georgia-Based Hedge Fund Lake Dow and its Principal, Ty Edwards, Ordered to Pay More than $4 million in Restitution and Penalties in CFTC Commodity Pool Fraud Action , 5800-10 |
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Federal Court Imposes $260,000 in Civil Penalties against Austin, Texas Resident Steven Leigh Shakespeare and His Company, Guardian Futures, Inc., Both Charged with Fraud and Unauthorized Trading , 5799-10 |
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CFTC Announces Participants for Public Meeting to Examine Futures and Options Trading in the Metals Markets , 5798-10 |
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CFTC Charges Patrick Rakotonanahary and Cyber Market Group LLC with Operating a Multi-Million Dollar Ponzi Scheme in Hawaii and Elsewhere in the U.S. , 5797-10 |
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CFTC Seeks Public Comment on Request From CME Clearing and NYMEX Involving Contracts Traded on the Dubai Mercantile Exchange , 5796-10 |
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CFTC Charges Raleigh, North Carolina Man and His Company, Yellowstone Partners, Inc., with Operating a Foreign Currency Ponzi Scheme , 5795-10 |
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CFTC Charges Scottsdale, Arizona Resident Helmut H. Weber d/b/a Weber Capital Management with Solicitation Fraud and Misappropriation in Forex Scheme , 5794-10 |
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Federal Court Issues Preliminary Injunction against Virginia Resident Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, in Forex Fraud Scheme , 5793-10 |
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CFTC Hosts International Regulators to Discuss Futures Industry Issues , 5792-10 |
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CFTC Charges Texas Resident Willie L. Cloud, Jr. and His Investment Company, C & R Financial, with Operating a Foreign Currency Ponzi Scheme , 5791-10 |
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Federal Court Orders California Man David Michael Kogan and His Company, First Capitol Futures Group, to Pay More than $20.3 Million in CFTC Commodity Options Fraud Action , 5790-10 |
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CFTC Sues Virginia-based Financial Investments, Inc. for Repeatedly Failing to File Annual Reports in a Timely Manner for a Commodity Pool It Operated , 5789-10 |
