Search for: "U.S. Commodity Futures Trading Commission"
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9 Jun 2021, 6:00 am
Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) in 2014, and is patiently awaiting the outcome. [read post]
7 Oct 2021, 6:37 am
Coinbase Files to become Futures Commission Merchant. [read post]
6 Mar 2017, 11:15 am
Rule 15c3-1, “Net Capital Rule” of the U.S. [read post]
1 Nov 2010, 11:51 am
Securities and Exchange Commission or the Commodity Futures Trading Commission stand to get between 10% and 30% of a penalty that is over $1 million. [read post]
22 Apr 2019, 4:53 pm
These new rules will go into effect on January 1, 2020 and will require all Associated Persons who engage in, or supervise activities involving, swaps at futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisers, swap dealers, and major swap participants to take and pass a proficiency exam. [read post]
22 Dec 2020, 9:43 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
20 Jul 2023, 10:44 am
For background, on September 22, 2022, the CFTC charged Ooki DAO for engaging in unlawful off-exchange leveraged and margined retail commodity transactions, engaging in activities performed by a registered futures commission merchant, and failing to implement appropriate Customer Information Program/KYC/AML procedures in violation of the Commodity Exchange Act of 1936, as amended (the “CEA”). [read post]
21 Nov 2008, 2:44 pm
" The initiatives anticipate monitoring credit default swaps and similar derivatives through clearinghouses and cooperation among the Federal Reserve Board, the SEC and the Commodity Futures Trading Commission. [read post]
12 Jul 2018, 8:53 am
On May 21, 2018, the Commodity Futures Trading Commission (“CFTC”) Division of Market Oversight and the Division of Clearing and Risk issued an advisory regarding virtual currency derivative products. [read post]
10 May 2016, 9:30 pm
Commodity Futures Trading Commission, suffer facially inadequate budgets—often smaller than the annual technology budget of just one of the many financial firms they oversee. [read post]
4 Oct 2010, 8:49 am
DOJ: Under Dodd-Frank, the U.S. [read post]
15 Dec 2022, 8:00 am
In November, the U.S. [read post]
15 Dec 2022, 4:00 am
In November, the U.S. [read post]
27 Oct 2017, 2:16 am
-regulated Bitcoin futures exchange. [read post]
19 Oct 2021, 2:16 pm
Most recently, he sent letters to three nominees to the Commodity Futures Trading Commission urging them to support the agency’s whistleblower program. [read post]
17 Apr 2013, 9:30 pm
” Finally, although the budget does not direct funding to independent regulatory agencies, Congress did recently receive a separate budget request from the Commodity Futures Trading Commission (CFTC), a key agency tasked with implementing many Dodd-Frank regulations. [read post]
12 Apr 2021, 9:04 pm
Department of Agriculture (USDA), the Centers for Disease Control and Prevention (CDC), or the Federal Trade Commission (FTC). [read post]
14 Jan 2021, 8:59 am
The U.S. withdrawal from the agreement had no direct effect on domestic greenhouse gas emissions. [read post]
4 Dec 2023, 8:11 am
”Commodities case. [read post]
5 Feb 2010, 6:05 am
These data show that U.S. banks with significant deposit bases assume little to no balance sheet risk from proprietary trading. [read post]
