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8 Dec 2023, 8:02 am
On 8 December 2023, there was published on legislation.gov.uk The Central Counterparties (Equivalence) (United States of America) (Commodity Futures Trading Commission) Regulations 2023 (No. 1323). [read post]
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]
9 Oct 2007, 6:03 am
In dueling briefs filed in the United States District Court for the Southern District of New York, the Commodity Futures Trading Commission (CFTC) and Federal Energy Regulatory Commission (FERC) came out on opposite sides of the question whether FERC has authority to take enforcement actions against manipulators of the natural gas futures market. [read post]
27 Jan 2008, 10:08 pm
Commodity Futures Trading Commission [read post]
17 Oct 2017, 1:20 pm
The European Commission and the US Commodity Futures Trading Commission (CFTC) have announced a common approach regarding certain derivatives trading venues authorised in the EU and in the United States of America. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
5 Nov 2010, 12:10 pm
The Commodities Futures Trading Commission (CFTC) has been dismissed as a lackadaisical regulator in the past, but it's getting more aggressive.Although the CFTC is smaller than the Securities & Exchange Commission (SEC), both in terms of the number of attorneys in its enforcement division (200 to the SEC's 1200+) and in the size of its targets, chairman Gary Gensler is flexing the agency's muscle. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
21 May 2012, 3:18 pm
The Commodity Futures Trading Commission is circulating a preliminary proposal to apply new rules not only to banks in the United States, but also American banks that have foreign units. [read post]
8 Mar 2010, 1:09 pm
The Commodity Futures Trading Commission said Monday that it had settled the charges against the supervisor of a Bank of Montreal natural gas trader who cost the bank around 680 million Canadian dollars (about $660 million United States) after the trader was accused of mismarking and misvaluing the bank's natural gas trading book for years. [read post]
19 Feb 2016, 8:16 am
Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight provided “no-action relief from registration” to a specific subset of individuals: “persons located outside the United States who act as Introducing Brokers, Commodity Trading Advisors, or Commodity Pool Operators in connection with swaps that are not subject to a CFTC clearing requirement on behalf of… [read post]
8 Feb 2022, 9:03 pm
Trade in shellfish between the United States and Europe is set to resume after more than a decade. [read post]
31 Mar 2022, 8:54 am
The Regulations revoke an existing equivalence decision, under Article 2a of the onshored European Markets Infrastructure Regulation (EMIR) for the US Commodity Futures Trading Commission (CFTC) and re-enacts the decision with an updated annex. [read post]
23 Nov 2009, 1:53 pm
Commodity Futures Trading Commission (CFTC) civil enforcement action against a New York Mercantile Exchange broker for "knowingly" manipulating settlement prices for electricity future contracts on behalf of Avista Energy, Inc. in 1998. [read post]
21 Jan 2010, 6:36 am
Commodity Futures Trading Commission v. [read post]
16 Jul 2013, 7:21 am
On July 11, the European Commission (EC) issued a memorandum announcing its agreement with the United States Commodity Futures Trading Commission (CFTC) relating to their joint understanding on a package of measures for regulating cross-border derivatives. [read post]
8 Jun 2015, 8:04 am
On June 4, the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued a No-Action Letter stating that it will not recommend that the CFTC take action for failure to register as an introducing broker or commodity trading advisor against persons located outside the United States that facilitate swap transactions for International… [read post]
12 May 2012, 3:07 pm
In short, the operator and advisor to an offshore fund will not need to register as a CPO or CTA, respectively, if two conditions are satisfied: 1) All exchange-traded futures, SEF-executed swaps or centrally cleared swaps are cleared through a CFTC registered futures commission merchant or "FCM"; and 2) All of the fund's investors are located outside of the United States. [read post]
28 Feb 2019, 5:44 am
After the Commodity Futures Trading Commission filed a civil Complaint against Perry, he allegedly to... [read post]
6 Sep 2016, 10:49 am
According to the SEC, the United States Commodity Futures Trading Commission (CFTC), is the federal agency that regulates commodity futures and options markets in the United States. [read post]
