Search for: "U.S. Commodity Futures Trading Commission"
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11 Nov 2011, 5:56 am
“A disaster”: That’s how Scott O’Malia, a commissioner at the Commodity Futures Trading Commission, described the condition of MF Global Holdings’ books. [read post]
15 Jul 2009, 1:31 am
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FEEDER FUNDS HELD SUBJECT TO COMMODITY POOL REGULATION"A fund that solicits money from investors for trading in commodity futures is subject to registration and regulation as a commodity pool operator, even if it does no trading itself, the Third U.S. [read post]
16 Jul 2021, 1:29 pm
(Federal Trade Commission). [read post]
11 Jan 2024, 8:47 am
Commodity Futures Trading Commission (CFTC). [read post]
29 Mar 2023, 1:00 pm
“I hope it is implemented properly, because although the Dodd-Frank Act permits anonymous and confidential whistleblowing to the Security and Exchange Commission (SEC) and to the Commodity Futures Trading Commission (CFTC), up until the AML law, the Justice Department was not required to accept confidential and anonymous whistleblowing information in any of the reward laws, including false claims that they administer. [read post]
28 Dec 2011, 2:30 pm
From August 12 to Sept. 30, the SEC received 334 whistleblower submissions.As a result of Dodd-Frank, the U.S. now has four robust whistleblower programs that offer substantial rewards to private citizens who expose fraud against the government, investor fraud and foreign bribery by corporations: The SEC’s and the Commodity Futures Trading Commission’s programs created by Dodd-Frank; the Internal Revenue Service’s whistleblower reward… [read post]
8 Mar 2016, 1:16 pm
Disputing the view that prosecutors act as de facto regulators, he indicated that “what I am looking for, and I think what most federal prosecutors look for, is a clear violation of a rule or regulation that’s set by the SEC [Securities and Exchange Commission] or the CFTC [Commodity Futures Trading Commission]. [read post]
15 Jun 2009, 3:32 am
Bruce Braley06/11/2009
Frequently Asked Questions: Identity Theft Red Flags and Address Discrepancies (PDF 56 KB)Released by Federal Financial Regulators06/11/2009
Legislative Text of a Bill to Require the Commodity Futures Trading Commission to Take Certain Actions to Prevent the Manipulation of Energy Markets, S. 1225 (PDF 28 KB)Text of the Bill as Introduced by Sen. [read post]
12 Jul 2013, 12:12 pm
Limitations, CFTC Considerations and Fund Advertising Since February 2012, when the Commodity Futures Trading Commission (“CFTC”) rescinded Rule 4.13(a)(4), most private funds have relied upon the de minimus exemption of Rule 4.13(a)(3) in order to be exempt from CFTC registration. [read post]
14 Mar 2022, 7:47 am
Reinforcing U.S. [read post]
18 Feb 2022, 10:02 am
Attorney’s Office for the Southern District of New York today announced criminal charges in a parallel action and the Commodity Futures Trading Commission (CFTC) has also reportedly announced civil charges against him. [read post]
17 Jul 2023, 8:27 am
On July 13, 2023, U.S. [read post]
16 Jun 2011, 10:01 pm
Bernie Sanders, I-Vt. introduced legislation today that would require the Commodity Futures Trading Commission to impose strict regulations on oil speculators, who some blame for rising gasoline prices. [read post]
16 May 2011, 9:47 am
There are just as many unanswered questions surrounding Gilliams' commodities trading business. [read post]
7 Jun 2021, 5:00 am
The day’s first panel examined cap-and-trade programs in the U.S., European Union, and United Kingdom, as well as lessons learned from these programs and ways in which they may evolve in the future. [read post]
26 Sep 2022, 7:33 am
Akin Gump Stauss Hauer & Feld LLP: Akin Gump describes its practice as being pro-defense: “We routinely represent clients—including companies and individuals based in the United States and around the world—in investigations conducted by the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and state… [read post]
14 Mar 2011, 9:13 am
Less understood is how difficult it was to design a viable process for two widely respected agencies, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”), to engage in joint rulemakings to implement Title VII, which governs the regulation of derivatives. [read post]
2 Feb 2010, 6:19 am
The details from the BLT: Commodity Futures Trading Commission: increase of 54.4% to $261 million, with the bulk of the increase going to new regulation of derivatives and stepped-up enforcement of existing regulations. [read post]
18 Oct 2019, 9:05 pm
Commodity Futures Trading Commission (CFTC) asserts that cryptocurrency is a commodity. [read post]
13 Aug 2021, 10:15 am
Examples include the Commodity Futures Trading Commission (CFTC), the Internal Revenue Service (IRS), and the Financial Crimes Enforcement Network (FinCEN). [read post]
