Search for: "U.S. Commodity Futures Trading Commission"
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30 Jan 2008, 4:12 pm
(LRAIC), has agreed to pay $170,000 in penalty and restitution to settle charges made by the Commodity Futures Trading Commission (CFTC) that he defrauded investor clients. [read post]
23 May 2017, 3:59 pm
Commodity Futures Trading Commission (the “Commission”) unanimously approved a final rule amending Regulation 1.31. [read post]
26 Jun 2017, 2:21 pm
Commodity Futures Trading Commission (“Commission“) unanimously approved a Final Rule on Revisions to Commission Delegated Authority Provisions and Technical Amendments (“Final Rule“). [read post]
8 May 2017, 1:45 pm
Commodity Futures Trading Commission (CFTC) announced that it will publish in the Federal Register proposed amendments to Part 3 of its regulations. [read post]
24 Apr 2024, 12:17 pm
Commodity Futures Trading Commission (CFTC) has contacted a number of major banks requesting non-disclosure agreements used in their swaps and clearing businesses to see whether they restrict whistleblowing, according to reporting by Bloomberg. [read post]
21 Aug 2015, 11:34 am
Commodity Futures Trading Commission (CFTC) proposed amendments to existing rules relating to swap data reporting in connection with cleared swaps. [read post]
18 Apr 2016, 2:22 pm
Commodity Futures Trading Commission’s (“CFTC”) Division of Market Oversight issued a no-action letter regarding the ownership and control final rule (the “OCR Final Rule”). [read post]
12 Dec 2016, 2:19 pm
Commodity Futures Trading Commission (CFTC) unanimously approved proposed rules that establish minimum capital requirements for swap dealers and major swap participants. [read post]
17 Mar 2014, 3:51 pm
Commodity Futures Trading Commission and the Financial Services Agency of Japan signed a Memorandum of Cooperation which expresses the agencies’ intent to work together to supervise and oversee regulated entities that operate on a cross-border basis in Japan and the United States. [read post]
17 Mar 2014, 3:51 pm
Commodity Futures Trading Commission and the Financial Services Agency of Japan signed a Memorandum of Cooperation which expresses the agencies’ intent to work together to supervise and oversee regulated entities that operate on a cross-border basis in Japan and the United States. [read post]
4 Apr 2016, 3:44 pm
Commodity Futures Trading Commission (CFTC) approved a final rule that will add an alternative method of CFTC registration for foreign natural persons. [read post]
22 Aug 2018, 7:51 am
Commodity Futures Trading Commission (CFTC) announced a notice of proposed rulemaking, which if adopted as proposed, would set out the policies and procedures for clearing organizations located outside of the United States to follow if they want to obtain an exemption from registration as a derivatives clearing organization (DCO). [read post]
4 Aug 2014, 3:41 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]
4 Aug 2014, 3:41 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]
14 Dec 2015, 9:03 am
Commodity Futures Trading Commission’s (the “CFTC“) Division of Market Oversight issued a time-limited no-action letter extending the relief provided in CFTC Letter No. 14-141. [read post]
21 May 2018, 2:03 pm
On May 16, 2018, the Commodity Futures Trading Commission’s (“CFTC“) Division of Swap Dealer and Intermediary Oversight (“DSIO“) granted relief to non-U.S. counterparties who enter into swaps with International Financial Institutions (“IFIs“), such as development banks. [read post]
12 Feb 2021, 6:18 am
Prosecutors have subpoenaed information from brokers such as Robinhood Markets Inc.The WSJ is also reporting that the Commodity Futures Trading Commission “has opened a preliminary investigation into whether misconduct occurred as some Reddit traders targeted silver futures and the largest exchange-traded fund tied to silver, the iShares Silver Trust. [read post]
10 Mar 2023, 12:59 pm
On March 8, Rostin Behnam, Chairman of the Commodity Futures Trading Commission (CFTC), testified before the U.S. [read post]
9 Jun 2010, 10:46 am
Commodity Futures Trading Commission (CFTC) and the U.S. [read post]
9 Jun 2010, 10:46 am
Commodity Futures Trading Commission (CFTC) and the U.S. [read post]
