Search for: "U.S. Commodity Futures Trading Commission"
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14 Aug 2007, 3:26 pm
Hunter argued that only the Commodity Futures Trading Commission (CFTC) possesses authority to take enforcement actions in connection with commodity futures. [read post]
20 May 2019, 1:48 pm
Securities and Exchange Commission and the U.S. [read post]
17 Jun 2015, 7:47 am
Thus, in Schor, the Court upheld the power of the Commodity Futures Trading Commission (CFTC)--a federal administrative agency--to adjudicate a state-law counterclaim filed as part of an adversary reparation proceeding against a commodities broker. [read post]
16 Oct 2017, 9:52 am
There are issues today, there will be issues in the future. [read post]
3 Sep 2021, 2:33 pm
Gensler’s last time appearing before this Committee was in 2012 when he was Commodity Futures Trading Commission chair. [read post]
9 Mar 2016, 8:09 am
They failed to register as a broker-dealer before communicating directly with U.S. clients by phone, e-mail, and instant messenger chats.Binary options differ from more conventional options contracts because the payout typically depends entirely on whether the price of a particular asset underlying the option will rise above or fall below a specified amount.Banc de Binary, Laurent, and the affiliates agreed to jointly pay $7.1 million in disgorgement and $1.95 million in penalties to… [read post]
22 Mar 2018, 7:29 am
A self-regulatory organization—National Futures Association. [read post]
18 Dec 2009, 10:38 am
As amended by the Commodity Futures Modernization Act, the Exchange Act antifraud provisions apply to security-based swap agreements. [read post]
26 Jun 2023, 7:27 am
In December 2021, the brokerage arm of JPMorgan agreed to pay $200 million in fines in settlements with the SEC and the Commodity Futures Trading Commission, and admit it failed to keep track of employees’ use of personal messaging apps such as WhatsApp that circumvented record-keeping requirements. [read post]
18 Dec 2018, 12:40 pm
Finally, Josh Oppenheimer covers recent LabCFTC updates from the Commodity Futures Trading Commission (CFTC). [read post]
5 Nov 2011, 7:27 am
The Commodity Futures Trading Commission also brought charges against Kim in February 2011, charging him with violations of the Commodity Exchange Act and seeking relief including permanent injunctions and disgorgement of ill-gotten gains. [read post]
25 Sep 2011, 1:36 pm
It also broadly authorizeso the Commodity Futures Trading Commission to issue rules necessary to prevent persons from circumventing or evading the speculative position limits and to carry out the purpose of the Act. [read post]
18 Dec 2008, 9:15 am
But the most notable bullet-point on Schapiro’s resume might be her stint as the chair of the Commodities Futures Trading Commission during the Clinton administration. [read post]
19 Jan 2023, 10:16 am
Individuals can disclose information relevant to potential FCPA violations to either the SEC or the Commodity Futures Trading Commission. [read post]
9 Feb 2012, 2:00 am
In fact, Broc Romanek wrote in December about a lawsuit filed against the Commodity Futures Trading Commission alleging that among other things the CFTC failed to conduct an adequate cost-benefit analysis in adopting rules that limit positions that investors may take in certain commodities. [read post]
19 Apr 2024, 2:45 pm
The Securities and Exchange Commission is the primary securities regulator in the U.S. [read post]
26 Feb 2016, 2:39 pm
Specifically, the lack of evidence that a link exists between excessive speculation and commodities futures prices may cause the proposal to fail cost-benefit analysis. [read post]
8 Dec 2020, 5:24 am
This list includes links to the federal agencies that have, so far, been issuing regulatory guidance, including the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC). [read post]
11 Oct 2012, 9:30 pm
The Commodity Futures Trading Commission (CFTC) reportedly has started to develop an appeal a U.S. district court decision that struck down an agency rule limiting speculative commodities trading. [read post]
1 Jul 2010, 8:22 am
Other extreme exchange traded funds trade volatile commodities futures. [read post]
