Search for: "U.S. Commodity Futures Trading Commission"
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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]
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]
5 Jun 2017, 2:16 pm
Commodity Futures Trading Commission‘s (“CFTC“) Division of Market Oversight and Division of Clearing and Risk issued a no-action letter extending the relief provided in CFTC Letter No. 16-58, which expires on June 15, 2017. [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]
22 May 2017, 10:05 am
Commodity Futures Trading Commission. [read post]
19 May 2017, 6:40 am
Environmental Protection Agency (EPA), and the Commodities Futures Trading Commission (CFTC) requesting an investigation into the activities of Carl Icahn for potential insider trading, market manipulation, and other securities and commodities law violations in the renewable fuel credit market. [read post]
13 May 2017, 7:05 am
Commodity Futures Trading Commission (CFTC). [read post]
8 May 2017, 1:51 pm
Key changes to rulemaking process include the following: The CLEA, Fed, FDIC, OCC, NCUA, SEC, FHFA, and Commodity Futures Trading Commission (federal financial agencies) would be required to include specified information in notices of proposed and final rulemaking. [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]
3 May 2017, 5:00 am
According to FIA, the rules do not take into account that many risk controls have already been implemented by traders and futures commission merchants (FCMs), including pre-trade maximum order size screens and self-trading controls, among other measures. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order… [read post]
27 Apr 2017, 10:13 am
In a contrasting enforcement action brought against the Bitfinex platform (“Bitfinex”), which did not list or permit the trading of derivatives, the CFTC asserted its jurisdiction over Bitfinex on the basis that the platform dealt in “retail commodity transactions”— leveraged, margined or financed transactions involving a commodity that are offered to persons that are not “eligible contract participants” — without being… [read post]
26 Apr 2017, 3:15 am
That question is generating a lot of discussion early in the Trump administration as U.S. policy makers consider ways to streamline the federal bureaucracy by potentially merging the Commodity Futures Trading Commission into the Securities and Exchange Commission. [read post]
11 Apr 2017, 3:01 pm
Or is the corporation merely property, a complex commodity? [read post]
3 Apr 2017, 6:39 am
The Securities Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and finally the Consumer Financial Protection Bureau (CFPB) are essentially responsible for ensuring implementation of the Act. [read post]
16 Mar 2017, 2:41 am
If the fund will have U.S. tax exempt investors, the domestic structure should be sufficient if the fund does not utilize leverage. [read post]
15 Mar 2017, 4:26 am
The SEC recognises that the Commodity Futures Trading Commission (CFTC) has declared Bitcoin as a commodity, and as such it has the role of regulating its implementation in the United States, and policing exchanges trading in BTC. [read post]
6 Mar 2017, 11:15 am
Rule 15c3-1, “Net Capital Rule” of the U.S. [read post]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump… [read post]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump… [read post]
