Search for: "U.S. Commodity Futures Trading Commission"
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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]
1 Nov 2010, 7:29 am
Commodity Futures Trading Commission (the “CFTC”) issued two notices of proposed rulemaking (“NPRMs”), citing Gramm-Leach-Bliley Act (“GLBA”) privacy rules, and marketing and data disposal rules of the Fair Credit Report Act (“FCRA”). [read post]
29 Oct 2010, 8:39 am
Commodity Futures Trading Commission (the “CFTC”) issued two notices of proposed rulemaking (“NPRMs”), citing Gramm-Leach-Bliley Act (“GLBA”) privacy rules, and marketing and data disposal rules of the Fair Credit Report Act (“FCRA”). [read post]
20 Oct 2010, 3:51 pm
**** NATIONAL FUTURES ASSOCIATION FOREX INVESTOR ALERT OCTOBER 18, 2010 New Forex Rules Become Effective on October 18 On August 30, the Commodity Futures Trading Commission (CFTC) issued its final rules regarding retail off-exchange foreign currency (forex) trading in the United States. [read post]
13 Oct 2010, 7:00 pm
. **** Notice to Members I-10-21 October 13, 2010 NFA offers guidance on CFTC’s final forex regulations The Commodity Futures Trading Commission’s (CFTC) final Forex regulations are effective on October 18, 2010. [read post]
6 Oct 2010, 7:22 am
Commodity Futures Trading Commission is cracking down on fraud. [read post]
4 Oct 2010, 8:49 am
DOJ: Under Dodd-Frank, the U.S. [read post]
1 Oct 2010, 3:35 pm
Findings Regarding Market Events of May 6, 2010 - September 30, 2010 "This report presents findings of the staffs of... [read post]
8 Sep 2010, 2:57 am
The whistleblower provisions include the creation of a new whistleblower bounty pursuant to which individuals who bring violations of securities and commodities laws to the attention of the Securities and Exchange Commission or the Commodities Futures Trading Commission will receive between 10 percent and 30 percent of any recovery in excess of $1 million. ? [read post]
3 Sep 2010, 8:00 am
Commodity Futures Trading Commission (CFTC) released final rules respecting off-exchange retail foreign currency transactions. [read post]
30 Aug 2010, 5:56 pm
Commodity Futures Trading Commission (CFTC) today announced the publication in the Federal Register of final regulations concerning off-exchange retail foreign currency transactions. [read post]
25 Aug 2010, 6:50 am
The Commodity Futures Trading Commission’s Office of General Counsel issued a no-action letter Aug. 17 permitting the offer and sale in the United States of the Turkish Derivatives Exchange’s futures contract based on the Istanbul Stock Exchange 30 Stock Index… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
23 Aug 2010, 12:53 pm
The Dodd-Frank Act – The Gift to Whistleblowers that Keeps on Giving Dodd-Frank also enacted additional federal whistleblowing protections, including into the Commodity Exchange Act for whistleblowers who report information to the Commodity Futures Trading Commission. [read post]
16 Aug 2010, 4:47 pm
The SEC and CFTCs should make liberal use of their exemptive authorities to avoid spending taxpayer resources on legal fights over whether these novel derivative products are securities or futures, and to permit these important new products to trade in either or both a CFTC- or SEC-regulated environment. [read post]
15 Aug 2010, 11:36 am
Section 742 also addresses the risk of regulatory arbitrage with respect to retail foreign currency transactions.Under the CEA, several types of regulated entities can provide retail foreign currency trading platforms, among them, broker-dealers, banks, futures commission merchants, and the category of retail foreign exchange dealers that was recognized by Congress in the Farm Bill in 2008. [read post]
23 Jul 2010, 8:55 am
Daniella Laise As we discussed in our post of June 25, the Canadian Securities Administrators (CSA) recently published for comment proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions (31-103), National Instrument 33-109 Registration Information (33-109), and Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information and related policies and forms (the First Year Amendments). [read post]
15 Jul 2010, 12:44 pm
One notable difference between sections 748 and 922 is the ability of a commodity whistleblower to appeal any determination regarding an award made by the Commodity Futures Trading Commission (CFTC) within 30 days. [read post]
8 Jul 2010, 7:22 am
State-owned or "national champion" firms may try to destabilize the U.S. and other political rivals.3) In response, free market nations should recognize that "the private sector is the only reliable long-term engine of robust and sustainable growth" (186), and should promote free trade and freely accept foreign investment. [read post]
7 Jul 2010, 8:16 am
Commodity Futures Trading Commission while other agencies list an email or physical address to send a request, such as the Peace Corps. [read post]
1 Jul 2010, 8:22 am
Other extreme exchange traded funds trade volatile commodities futures. [read post]
