Search for: "U.S. COMMODITY FUTURES TRADING COMMISSION"
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28 Mar 2014, 1:09 pm
The press release states in part: The Ontario Securities Commission, together with the Autorité des marchés financiers, Alberta Securities Commission and British Columbia Securities Commission, recently entered into a Memorandum of Understanding with the United States Commodity Futures Trading Commission... [read post]
5 Sep 2012, 1:45 pm
Commodity Futures Trading Commission is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act): 17 CFR Part 4 Amendments to Commodity Pool Operator and… [read post]
11 Feb 2016, 12:28 pm
Commodity Futures Trading Commission (the “CFTC”) and the European Commission announced a common approach relating to requirements for transatlantic central clearing parties (CCPs). [read post]
13 Sep 2012, 12:12 pm
General Overview and Background of CFTC Generally, regulation of the U.S. financial markets is divided between the Securities and Exchange Commission (“SEC”), with authority over securities, and the Commodity and Futures Trading Commission (“CFTC”), with authority over futures/derivatives. [read post]
13 Sep 2012, 12:12 pm
General Overview and Background of CFTC Generally, regulation of the U.S. financial markets is divided between the Securities and Exchange Commission (“SEC”), with authority over securities, and the Commodity and Futures Trading Commission (“CFTC”), with authority over futures/derivatives. [read post]
31 Dec 1969, 4:00 pm
The Commodity Futures Trading Commission’s (“CFTC”) is seeking comments regarding an amendment (Submission No. 16-67) ICE Futures U.S. [read post]
18 Dec 2015, 12:13 pm
Commodity Futures Trading Commission’s (the “CFTC”) Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight issued a time-limited no-action letter extending the relief provided in CFTC Letter No. 14-147. [read post]
19 Jan 2016, 1:11 pm
Commodity Futures Trading Commission’s (the “CFTC”) Division of Clearing and Risk issued no-action relief to certain entities from the swap clearing requirements so long as certain conditions (outlined in the respective letters) are complied with. [read post]
2 Aug 2018, 1:54 pm
That’s how much the Commodity Futures Trading Commission (CFTC)’s whistleblower program has given in awards to everyday individuals who came forward with crucial information, helping just this one branch of the U.S. government stop criminals from profiting from their illicit activity. [read post]
What type of “insider trading” is prohibited by the CFTC within the commodities and futures markets?
28 Feb 2011, 11:36 am
Generally, regulation of the U.S. financial markets is divided between the Securities and Exchange Commission (“SEC”), with authority over securities, and the Commodity and Futures Trading Commission (“CFTC”), with authority over futures/derivatives. [read post]
24 May 2012, 3:03 pm
Commodity Futures Trading Commission (CFTC) brought charges today in the U.S. [read post]
12 May 2012, 3:07 pm
Commodity Futures Trading Commission ("CFTC") and consequential regulatory overhaul of the U.S. derivatives markets, many offshore investment funds and their advisers have expressed an interest in available exemptions from the registration requirements that apply to a commodity pool operator (CPO) or a commodity trading advisor (CTA). [read post]
23 Mar 2015, 8:53 am
Commodity Futures Trading Commission (Commission) unanimously approved a final rule removing the December 31, 2018 automatic termination of the phased-in compliance period for the Residual Interest Deadline for futures commission merchants (FCMs). [read post]
27 Jan 2008, 10:08 pm
Commodity Futures Trading Commission [read post]
18 May 2011, 6:44 am
Such markets are regulated by the Commodity Futures Trading Commission. [read post]
22 Jul 2009, 3:56 am
The exam is designed for anyone who is going to act as an Associated Person, Commodity Trading Advisor, Commodity Pool Operator, Introducing Broker, or Futures Commission Merchant. [read post]
21 Sep 2015, 2:11 pm
Commodity Futures Trading Commission Division issued a final rule requiring that all registered introducing brokers and commodity pool operators, and certain commodity trading advisors become and remain members of a registered futures association. [read post]
27 Nov 2023, 7:50 am
Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for a $20 million enforcement action taken against an Illinois man and his entities for operating a commodity pool Ponzi scheme. [read post]
4 Feb 2022, 12:52 pm
In exchange for these commission fee kickbacks, Clark agreed to direct his employer’s trades to Webb’s brokerage According to the indictment, Clark conspired with others to misappropriate his employer’s material, nonpublic information and to engage in prohibited commodities transactions, including illegal prearranged trades, in natural gas futures contracts for his own, and his co-conspirators’, personal gain. [read post]
12 May 2012, 3:07 pm
Commodity Futures Trading Commission ("CFTC") and consequential regulatory overhaul of the U.S. derivatives markets, many offshore investment funds and their advisers have expressed an interest in available exemptions from the registration requirements that apply to a commodity pool operator (CPO) or a commodity trading advisor (CTA). [read post]
