Search for: "U.S. Commodity Futures Trading Commission"
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17 Oct 2023, 12:03 pm
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened a hybrid meeting today to discuss certain issues relating to…Read the Full Press Release Have a securities law question? [read post]
25 Jun 2021, 10:20 am
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and the Bank of England convened a virtual meeting today to discuss certain issues…Read the Full Press ReleaseHave a securities law question? [read post]
17 Jun 2020, 10:28 am
On May 28, the Commodity Futures Trading Commission (CFTC) approved an interim rule to grant an extension of the compliance schedule for initial margin requirements for uncleared swaps in response to operational challenges certain entities are facing due to the COVID-19 pandemic. [read post]
23 Jan 2024, 1:11 pm
Commodity Futures Trading Commission (CFTC) Whistleblower Office posted a Notice of Covered Action (NCA) for a December enforcement action in which a California resident and his corporation agreed to pay over $5 Million for engaging in a romance fraud scheme. [read post]
30 Oct 2019, 5:22 pm
U.S. regulators, in particular the Commodity Futures Trading Commission (“CFTC”), are intently pursuing market manipulation enforcement. [read post]
30 Oct 2019, 5:22 pm
U.S. regulators, in particular the Commodity Futures Trading Commission (“CFTC”), are intently pursuing market manipulation enforcement. [read post]
29 Mar 2021, 12:43 pm
This was announced by the Commodity Futures Trading Commission (CFTC) regulator on Friday. [read post]
4 Aug 2014, 8:41 am
Commodity Futures Trading Commission (CFTC), the regulatory agency that oversees the trading of futures, issued a press release announcing that the agency had gotten a federal court order to freeze the assets of Robert J. [read post]
29 Mar 2024, 3:12 pm
Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for an over $50 million enforcement action taken against Blue Moon Investments Inc., a binary options firm registered in Seychelles, and 3 owners believed to be residents of Israel for offering illegal, off-exchange binary options and related fraud. [read post]
9 Jul 2011, 1:27 pm
Securities and Exchange Commission and the Commodities Futures Trading Commission often face the same collection issues, according to Jean Eaglesham’s Wall Street Journal article entitled, “Chasing Fraud, Then Cash. [read post]
7 Jun 2017, 5:00 am
Commodity Futures Trading Commission (“CFTC”) imposing a permanent trading ban for spoofing and manipulation, and pled guilty to criminal charges of manipulation and wire fraud, for trading done in the precious metals market. [read post]
20 Oct 2010, 3:51 pm
**** NATIONAL FUTURES ASSOCIATION FOREX INVESTOR ALERT OCTOBER 18, 2010 New Forex Rules Become Effective on October 18 On August 30, the Commodity Futures Trading Commission (CFTC) issued its final rules regarding retail off-exchange foreign currency (forex) trading in the United States. [read post]
21 Feb 2017, 2:03 pm
Commodity Futures Trading Commission (the “CFTC“) announced that, between March 1, 2017 and September 1, 2017, it would “not recommend an enforcement action against a swap dealer (SD) for failure to comply with the variation margin requirements for swaps that are subject to a March 1, 2017 compliance date. [read post]
12 Sep 2016, 1:03 pm
Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight announced that it “issued a time-limited, no-action letter stating that it will not recommend an enforcement action against a swap dealer subject to the September 1, 2016 compliance date for the CFTC’s uncleared swap margin rules, subject to certain conditions, for failing to fully comply with the custodial arrangement requirements of… [read post]
25 Apr 2023, 7:48 am
Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for settled charges against Goldman Sachs & Co. [read post]
18 Apr 2012, 3:17 pm
Chamber of Commerce today filed a legal challenge to the Commodity Futures Trading Commission’s final rule imposing redundant regulations on registered investment companies, such as mutual funds and exchange traded funds, without satisfying the agency’s obligation to weigh the costs or benefits of the rule. [read post]
23 Aug 2023, 11:22 am
The bill addresses a funding crisis threatening to undermine the whistleblower program of the Commodity Futures Trading Commission (CFTC). [read post]
9 May 2012, 9:37 am
Industry Group Presses CFTC and SEC on New Swap RulesA group of asset managers, hedge funds and proprietary managers issued an open letter to the Commodity Futures Trading Commission and the Securities and Exchange Commission on Tuesday, calling for the agencies to move quickly to implement Dodd-Frank swap-clearing requirements by the end of the year. [read post]
1 Sep 2023, 10:13 am
On August 31, the Commodity Futures Trading Commission (CFTC) Whistleblower Office posted a Notice of Covered Action (NCA) for a recent enforcement action taken against Goldman Sachs over allegations that the company committed recordkeeping violations. [read post]
15 Aug 2012, 9:32 am
Commodity Futures Trading Commission (“CFTC” or “Commission”) issued a joint final rulemaking in conjunction with the U.S. [read post]
