Search for: "U.S. Commodity Futures Trading Commission"
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13 Oct 2015, 1:37 pm
Those cases received a boost today as the SEC announced that UBS AG has agreed to pay $19.5 million to settle charges that it made false or misleading statements and omissions in offering materials provided to U.S. investors in structured notes linked to a proprietary foreign exchange trading strategy.Structured notes are complex financial products that typically consiss of a debt security with a derivative tied to the performance of other securities, commodities,… [read post]
6 Oct 2015, 5:25 am
Commodity Futures Trading Commission announced yesterday that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act (CEA). [read post]
5 Oct 2015, 10:00 am
Commodity Futures Trading Commission’s (the “Commission”) Division of Market Oversight issued a no-action letter that provides reporting parties additional time to comply with certain reporting requirements of the ownership and control final rule. [read post]
5 Oct 2015, 8:56 am
Commodity Futures Trading Commission announced that it would issue an award of approximately $290,000 to whistleblowers for providing valuable information about violations of the Commodity Exchange Act. [read post]
25 Sep 2015, 10:51 am
“Tera Exchange facilitated wash trading and prearranged trading in violation of the Commodity Exchange Act,” she said. [read post]
21 Sep 2015, 2:11 pm
Commodity Futures Trading Commission Division issued a final rule requiring that all registered introducing brokers and commodity pool operators, and certain commodity trading advisors become and remain members of a registered futures association. [read post]
21 Sep 2015, 2:10 pm
Commodity Futures Trading Commission Division announced that it will publish in the Federal Register a proposed amendment to the definition of “material terms” for purposes of swap portfolio reconciliation under Commission Regulation 23.502. [read post]
8 Sep 2015, 2:20 pm
Commodity Futures Trading Commission (CFTC) approved rule amendments and a new interpretive notice proposed by the National Futures Association (NFA). [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]
20 Aug 2015, 9:30 pm
Commodity Futures Trading Commission (CFTC) proposed revised disclosure and record requirements for swaps. [read post]
5 Aug 2015, 9:00 pm
Commodity Futures Trading Commission (CFTC) for providing information about a potential violation that leads to “the successful enforcement of a covered judicial or administrative action, or a related action,” according to the Federal Register. [read post]
22 Jul 2015, 5:29 am
U.S. v. [read post]
21 Jul 2015, 5:00 am
Finalization Day (July 14, 2015) The day the agreement was reached and endorsed by Iran and the P5+1 The deal will be “promptly” submitted to the UNSC for endorsement The United Nations Security Council endorses the JCPOA (July 20, 2015) UNSC votes unanimously to: endorse the JCPOA “terminate” all prior UN sanctions, beginning on Implementation Day (and subject to reimposition through snapback mechanism) President Submits Agreement to… [read post]
13 Jul 2015, 3:18 pm
Commodity Futures Trading Commission today issued a joint report analyzing the significant volatility in the U.S. [read post]
6 Jul 2015, 1:01 pm
Commodity Futures Trading Commission voted unanimously to propose a rule that would apply the Commission’s margin requirements for uncleared swaps in the context of cross-border transactions (Proposed Rule). [read post]
5 Jul 2015, 6:00 am
The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to enforce security-based swap and swap regulatory requirements under Title VII of the Dodd-Frank Act. [read post]
30 Jun 2015, 12:01 pm
Other agencies, like the Federal Trade Commission or the Commodity Futures Trading Commission, have a bipartisan, multi-member panel running the organization. [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 Jun 2015, 9:09 am
The court cited the Supreme Court’s holding to that effect in Commodity Futures Trading Commission v. [read post]
14 Jun 2015, 2:00 pm
Cases like Commodity Futures Trading Commission v. [read post]
