Search for: "U.S. Commodity Futures Trading Commission"
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2 Jan 2024, 11:26 am
Working under the supervision of the Securities Exchange Commission, FINRA: Writes and enforces rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
1 Jan 2024, 6:19 am
In contrast, the Commodity Futures Trading Commission classifies them differently. [read post]
18 Dec 2023, 2:48 pm
On October 2, 2023, the Commodity Futures Trading Commission (“CFTC”) proposed amendments to modernize Regulation 4.7, significantly increasing monetary thresholds and expanding disclosure requirements. [read post]
14 Dec 2023, 12:42 pm
Commodity Futures Trading Commission for its conduct, and the DOJ will credit that amount as well. [read post]
11 Dec 2023, 1:18 pm
Entities subject to significant U.S. government regulation, specifically securities reporting issuers; governmental authorities; banks, credit unions, bank holding companies, and money service businesses; securities brokers/dealers, securities exchanges/clearing agencies, other entities registered under the Securities Exchange Act of 1934, investment companies and investment advisors, venture capital fund advisers, and insurance companies as defined under the Investment Company Act… [read post]
4 Dec 2023, 8:11 am
”Commodities case. [read post]
27 Nov 2023, 11:35 am
The historic settlement resolves investigations by multiple government agencies, including the Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC), and the underlying violations are covered under multiple U.S. whistleblower award programs. [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]
26 Nov 2023, 8:18 am
They are the Securities & Exchange Commission, the Commodities Futures Trading Commission and The Financial crimes Enforcement Network (FINCEN) of the Treasury department. [read post]
22 Nov 2023, 1:24 pm
Securities and Exchange Commission and the Commodity Futures Trading Commission have increased enforcement actions against cryptocurrency and other digital asset companies. [read post]
21 Nov 2023, 9:01 pm
US FEDERAL DEVELOPMENTS The Commodity Futures Trading Commission has regulatory authority over the derivatives markets in the United States (including, for example, voluntary carbon emissions offset futures) and anti-fraud and anti-manipulation authority over spot commodity markets (including the VCCs market), as well as the derivatives markets. [read post]
16 Nov 2023, 9:05 pm
The realities of fragmentation are evident in the increasing competition between the major federal regulators claiming jurisdiction over digital asset markets: the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). [read post]
15 Nov 2023, 9:22 am
Commodities Futures Trading Commission (CFTC). [read post]
14 Nov 2023, 9:04 am
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) surpassed $2 billion in whistleblower awards, according to the whistleblower law firm Kohn, Kohn & Colapinto. [read post]
13 Nov 2023, 9:05 pm
However, the final Analytic Framework, which “describes the approach the Council expects to take in identifying, assessing, and responding to certain potential risks to U.S. financial stability,”[21]includes additional details on the FSOC’s approach that were not included in the proposal. 1. [read post]
8 Nov 2023, 11:55 am
In December 2022, Congress amended the AMLA whistleblower program of 2020 with the intention of better aligning the AMLA program with successful whistleblower programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
2 Nov 2023, 9:01 pm
Given the role of swaps in the 2008 crisis, these matters naturally came up in 2009, when I was being considered for confirmation by Congress to serve as Chair of the Commodity Futures Trading Commission (CFTC).[1] A key feature of those Congressional debates and subsequent legislative actions focused on ensuring that the trading venues for swaps—so-called swap execution facilities (SEFs)—were registered with and overseen by market regulators.… [read post]
1 Nov 2023, 6:11 am
Regulators cannot predict the future and should not try to drive outcomes, she said.Mersinger delivered the remarks on October 27 at the S&P Global Commodity Insights Nodal Trading Conference.Can’t predict the future. [read post]
31 Oct 2023, 2:07 pm
Commodity Futures Trading Commission (CFTC) released its Annual Report on the CFTC Whistleblower Program for the 2023 Fiscal Year (FY 2023). [read post]
25 Oct 2023, 1:58 pm
Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for an enforcement action taken against Ceres Global Ag Corp. over allegations that the Minnesota-based company attempted to manipulate the price of oats futures contracts. [read post]
