Displaying results 1191 - 1200 of 2823
CFTC Orders a Los Angeles Futures Commission Merchant to Pay $6 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
… today issued an order simultaneously filing and settling charges against Wedbush Securities Inc. , a Los Angeles, … preserve, or produce records required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its business as a CFTC registrant. Wedbush admits the facts in the order and …
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e8-17531
… SUMMARY: The Commission charges fees to designated contract markets and registered … please contact Angela Clark at (202) 418-5178 or aclark@cftc.gov, or see the CFTC Web site at http://www.cftc.gov, specifically, … please contact Angela Clark at (202) 418-5178 or aclark@cftc.gov, or see the CFTC Web site at http://www.cftc.gov, …
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e7-16705
… SUMMARY: The Commission charges fees to designated contract markets and registered … Adrienne Young-Burgess at (202) 418-5196 or aburgess@cftc.gov, or see the CFTC Web site at … in/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.cftc.gov, specifically, …
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e9-21545
… SUMMARY: The Commission charges fees to designated contract markets and registered … please contact Angela Clark at (202) 418-5178 or aclark@cftc.gov, or see the CFTC Web site at http://www.cftc.gov, specifically, … please contact Angela Clark at (202) 418-5178 or aclark@cftc.gov, or see the CFTC Web site at http://www.cftc.gov, …
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CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations
… today issued orders simultaneously filing and settling charges with affiliates of three financial institutions for … multiple sections of the Commodity Exchange Act (CEA) and CFTC regulations. The order imposes a $30,000,000 civil … to ensure they are in full compliance with the CEA and CFTC regulations,” said Division of Enforcement Director Ian …
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CFTC Announces Agenda for the Upcoming Public Meeting of the Technology Advisory Committee
… May 28, 2014 CFTC Announces Agenda for the Upcoming Public Meeting of the … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today the full agenda for the upcoming CFTC … high-frequency trading. The witnesses will respond to the charges in Michael Lewis’s book Flash Boys from a …
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CFTC Orders The Bank of Nova Scotia to Pay a $15 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
… today issued an order simultaneously filing and settling charges against The Bank of Nova Scotia , 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 BNS Affiliates admit the facts …
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CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility
… today issued an order simultaneously filing and settling charges against Asset Risk Management, LLC (ARM), a … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. “Failing to register as required by the CEA impairs the CFTC’s ability to monitor swap markets and threatens the …
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CFTC Seeks to Revoke or Suspend the Registration of Raleigh Capital Management, Inc.
… October 26, 2011 CFTC Seeks to Revoke or Suspend the Registration of Raleigh … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a notice of intent to … (RCM), a Chicago, Ill.-based commodity pool operator. The CFTC’s notice alleges that RCM is subject to …
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CFTC Seeks to Revoke Registration of Introducing Broker iFinix Futures, Inc.
… February 20, 2014 CFTC Seeks to Revoke Registration of Introducing Broker … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the … also done business under the name Pro-Active Futures. The CFTC’s Notice alleges that iFinix is subject to statutory …
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