Displaying results 1751 - 1760 of 2823
Industry Filings
… for FCM and clearing member firms with requirements of the CFTC and the Exchange’s Clearing Services Provider … of the USDA. Amendments to Rule 7.64 remove handling charges for the list of tariffs which Licensed NFC … that the deliverer of NFC shall be responsible for storage charges for 60 days, with the receiver being responsible at …
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2016-23983
… The Commodity Futures Trading Commission (Commission or CFTC) is adopting an amendment to the Commission's … of Clearing and Risk (DCR), at 202-418-5684 or sjosephson@cftc.gov; Peter A. Kals, Special Counsel, DCR, at 202-418- … The effect on competition, including appropriate fees and charges applied to clearing; and (5) The existence of …
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Keynote Speech of CFTC Commissioner Sharon Y. Bowen before the Quadrilateral Meeting at the European Central Bank (Frankfurt, Germany)
… Keynote Speech of CFTC Commissioner Sharon Y. Bowen before the Quadrilateral … do not reflect the views of my fellow Commissioners or the CFTC staff. It’s been a long day for many of you, so I’ll … the subject of many articles and commentary. In April, the CFTC’s Market Risk Advisory Committee, which I sponsor, …
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Remarks of CFTC Commissioner Brian D. Quintenz at FIA Asia 2018
… Remarks of CFTC Commissioner Brian D. Quintenz at FIA Asia 2018  … of the Commodity Futures Trading Commission (Commission or CFTC).   Let me just say a word about how impressed I am … the world’s derivatives activity.  It is a priority for the CFTC, the agency responsible for overseeing the derivatives …
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CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct & Reporting Requirements, & for Supervision Failures
… November 6, 2017 CFTC Orders Cargill, Inc. to Pay a $10 Million Civil … Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Cargill, Inc. (Cargill), of Minnesota, for … CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for …
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FOIA
… of requesters: Commercial Use Requester The Commission charges fees for search time, review time, and duplication … or Noncommercial Scientific Institution The Commission charges only duplication fees to schools or to organizations … or review time. Representative of News Media The Commission charges only duplication fees to any person actively …
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CFTC Settles Action against Friedberg Mercantile Group, Inc., a Registered Futures Commission Merchant, for Secured Amount Deficiency, Commingling of Customer Funds and Failure to Timely Report Secured Amount Deficiency
… October 8, 2014 CFTC Settles Action against Friedberg Mercantile Group, … DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an order requiring … funds on February 6, 2013, and failure to timely notify the CFTC of the February 5, 2013 secured amount deficiency as …
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FXDirectDealer, LLC Ordered to Pay $600,000 Civil Monetary Penalty and to Comply with Three-Year Registration Ban as FCM or RFED for Violating Minimum Financial Requirements and a Prior CFTC Order
… for Violating Minimum Financial Requirements and a Prior CFTC Order Firm’s Supervisory Failures Led to Repeated and … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against FXDirectDealer, LLC (FXDD), a …
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CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud
… January 28, 2013 CFTC Seeks to Revoke the Registration of Robert A. Christy … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a notice of intent to revoke the … Commodity Pool Operator and Commodity Trading Advisor. The CFTC’s notice alleges that Christy and Crabapple are subject …
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2010-456
… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to adopt a comprehensive regulatory scheme (``Proposal'') to implement the CFTC Reauthorization Act of 2008 (``CRA'') \1\ with respect … connection with their line of business.\37\ Thus, the CRA charges the Commission with regulating speculative forms of …
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