Displaying results 1131 - 1140 of 2823
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would implement the new … Web site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions for submitting comments … subordinated debt), and further reduced by certain capital charges (or haircuts) to reflect potential market and credit …
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… CFTC Reports Policy Alternatives Relating to Agricultural … the newly created Commodity Futures Trading Commission (CFTC) was vested with plenary authority to regulate the … use. This risk is further reduced because of exchange and CFTC disclosure rules and other requirements, including …
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… today issued an order simultaneously filing and settling charges against Interactive Brokers Corp ., an introducing … and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. The order requires Interactive Brokers to …
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… Release: 5609-09 For Release: February 6, 2009 CFTC Obtains Judgment Against Albert E. Parish and Parish Economics LLC for Operating a Commodity Pool Scam in CFTC Anti-Fraud Action Parish Currently Serving a Sentence … the District of South Carolina entered an order settling charges alleging that Albert E. Parish and Parish Economics …
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… July 16, 2013 CFTC Names Christopher Ehrman as Director of Whistleblower … Washington, DC – Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today announced that Christopher … Ehrman has been named as the new director of the CFTC’s Whistleblower Office. “I am pleased that Chris is …
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… of Ted Brent Alexander of Jackson, Mississippi. The CFTC filed a Notice of Intent to Suspend or Modify … Section 8a(11) against Alexander on September 2, 2021. [See CFTC Press Release No. 8423-21 ]. The CFTC action is based … CFTC's Notice of Intent states that the relevant indictment charges Alexander with the commission of, or participation …
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… the settlement initially announced on November 21 [See CFTC Press Release No. 8825-23 ], the court finds Zhao and Binance violated the Commodity Exchange Act (CEA) and CFTC regulations, imposes a $150 million civil monetary … transaction fees and pay a $1.35 billion penalty to the CFTC. The order also obligates Zhao and Binance to make …
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… today issued an order simultaneously filing and settling charges against StoneX Markets LLC (StoneX), a registered swap dealer, for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that StoneX failed to disclose thousands of …
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… today issued two orders simultaneously filing and settling charges against U.S. Bank, N.A. , a swap dealer, and against … and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to their businesses as CFTC registrants. The settling registrants admit the facts …
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… January 21, 2020 CFTC Orders Australian Company to Pay $1 Million for … Commission today issued an order filing and settling charges against Propex Derivatives Pty Ltd , a proprietary … on spoofing. This case was brought in connection with the CFTC Division of Enforcement’s Spoofing Task Force. “This …
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