Displaying results 1151 - 1160 of 2823
… Commission today issued an order filing and settling charges against respondent SummerHaven Investment Management … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. Case Background According to … CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to adopt new regulations and to amend … Major Swap Participants'', by any of the following methods: CFTC Web site, via its Comments Online process: … Requirements for FCMs i. Introduction ii. FCM Capital Charges for Swaps and Security-Based Swaps in Computing …
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… ). In its continuing litigation against the defendants, the CFTC is seeking permanent civil injunctions in addition to … remedial relief including restitution to customers. The CFTC is further seeking disgorgement of funds transferred to … them International Bullion Services Bahamas). The complaint charges defendants with fraud in connection with the sales …
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… petition for a writ of certiorari by the defendants in the CFTC’s anti-fraud enforcement action against Monex Deposit … and principals. The defendants’ petition challenged the CFTC’s authority to bring enforcement cases against alleged … by the U.S. Court of Appeals for the Ninth Circuit. [See CFTC Press Release No. 7984-19 ] The CFTC enforcement …
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… today issued an order simultaneously filing and settling charges against HSBC Bank USA, N.A. , a provisionally … or produce 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 HSBC Affiliates admit the facts …
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… today issued an order simultaneously filing and settling charges against The Options Clearing Corporation (OCC), a Chicago-based CFTC-registered derivatives clearing organization (DCO). The … violation of the Commodity Exchange Act (CEA) and related CFTC regulations. Without admitting or denying the CFTC’s …
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… July 12, 2010 CFTC Announces Members of the CFTC’s Technology Advisory Committee – Committee to Meet on … for HFT/ALGO Washington, DC – The first meeting of the CFTC’s Technology Advisory Committee (TAC), titled … CFTC Announces Members of the CFTC’s Technology Advisory …
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… September 28, 2017 CFTC Orders Morgan Stanley & Co. LLC to Pay $500,000 for … of Exchange and Clearing Fees Led to Customer Overcharges at Times Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously …
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… October 4, 2010 CFTC Sanctions Triland USA Inc. $725,000 for Failing to … Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency Washington DC – The U.S. Commodity … today announced the filing and simultaneous settlement of charges against Triland USA Inc. (Triland), a registered …
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… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on February 22, 2013 the … to the retail public. The Court’s Order stems from the CFTC’s December 5, 2012 Complaint charging the Defendants … RELATED NEWS RELEASES • Press Release : CFTC Charges Hunter Wise Commodities, Lloyds Commodities, C.D. …
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