Displaying results 2211 - 2220 of 2823
… D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in the … prohibiting the defendants from destroying documents. The CFTC complaint alleges that, from November 2003 through … as controlling persons. In the continuing litigation, the CFTC is seeking preliminary and permanent injunctive orders …
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… The Commodity Futures Trading Commission (Commission or CFTC) is issuing final rules to implement new statutory … Andresen, Senior Special Counsel, (202) 418-5492, dandresen@cftc.gov, or David Steinberg, Special Counsel, (202) … by a disciplinary panel or other authority for issuance of charges or [[Page 80714]] instructions to investigate …
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… agencies. To date, only 133 are complete—33 percent. The CFTC has done a little better. We’ve completed about … volatility. So Congress, as part of Dodd-Frank, charged the CFTC with setting speculative trading limits. The law, in my …
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… regulations in financial and commodities markets. At the CFTC, regulatory enforcement is a priority and a bipartisan … there will be no pause, no let up, and no relaxation in the CFTC’s efforts to enforce the law and punish wrongdoing. [1] … the big ones off the hook? Not a chance. We filed more charges against financial institutions than in all but one …
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… Trading: The Next TAC Meeting Will Answer the Charges in Lewis’s Book Flash Boys Michael Lewis’s book … Although Flash Boys focuses on the equity market, several charges in the book could apply to the derivatives market. … presentations are available at http://www.cftc.gov/About/CFTCCommittees/TechnologyAdvisory/tac_meetings . 8 The …
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… based on single stocks or narrow stock indices. As the CFTC has pursued implementation of those objectives, I have … must be enforced firmly. That is why, at the same time the CFTC has been proposing numerous rule modernizations, we … energy sector investigations, which may result in further charges being filed, but let me take a moment here to make …
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… CONTACT: Amanda L. Olear, Director, 202-418- 5283, aolear@cftc.gov; Thomas Smith, Deputy Director, 202-418-5495, tsmith@cftc.gov; Rafael Martinez, Associate Director, … which is calculated as the sum of the firm's: (i) capital charges for market risk; (ii) risk- weighted exposure …
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… Oversight of the Commodity Futures Trading Commission (CFTC). Background on Commodity Exchange Act and the CFTC Mission The purpose of the Commodity Exchange Act (CEA) … mission statement and statutory charge under the CEA, the CFTC is tasked with protecting market participants and the …
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… and abuse concerning Commodity Futures Trading Commission (CFTC or Commission) programs and operations, internal staff … by any of the following methods: [[Page 20142]] CFTC Comments Portal: https://comments.cftc.gov. Select the ``Submit Comments'' link for this …
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… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John Robert Blakey of the … for Permanent Injunction (Consent Order), which resolves charges against Defendant Thomas C. Lindstrom , of Winnetka, … Options). The October 4, 2018 Consent Order stems from a CFTC Enforcement Complaint filed on September 29, 2016, …
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