Displaying results 2361 - 2370 of 2823
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that the Honorable Patricia A. Seitz … Brickell Key Financial, LLC (Brickell), settling charges that they fraudulently solicited customers to … on commodity futures contracts. The orders stem from a CFTC complaint filed in October 2004, which alleged that, …
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… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that the U.S. District Court for the … of dollars. The four orders for default judgment resolve charges against the nine defendants arising from the CFTC’s complaints in CFTC v. New York Options Exchange, et …
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… voting for its release based on my firm belief that the CFTC should remain a principles based regulator, and not a … The proposed rules also provide an extension of time for CFTC staff to review applications. Given the present … have today asked the Inspector General to investigate these charges and have further asked the Office of the Secretariat …
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… don’t think of the Commodity Futures Trading Commission (“CFTC”) when it comes to technology. And frankly, that makes … the use of technology to more effectively meet the CFTC’s surveillance, oversight and regulatory … I believe that many of our rulemakings are better for it. CFTC is the LEI Leader In reviewing today’s agenda, I …
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… those of my fellow Commissioners or Commission staff. CFTC Introduction Before I get to my main topic, I should … of you: What is the Commodity Futures Trading Commission or CFTC? I’m happy to answer that question, and not at all … that the SEC currently has. 16 Today, while pursuing civil charges, the Commission sometimes finds it necessary to help …
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… U.S. Customers, and Modify Website Action part of CFTC’s second nationwide sweep against foreign currency … register under the 2008 Farm Bill, the Dodd-Frank Act, and CFTC regulations Washington DC – The U.S. Commodity Futures … has registered with the CFTC. The order settles CFTC charges that Enfinium unlawfully solicited U.S. customers to …
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… of Fort Bragg, California. The consent order resolves the CFTC’s claims against Hewko in the CFTC action filed against him, his son, Daniel Adam Hewko, … and Main & Prospect Capital, LLC, on November 13, 2019 [See CFTC Press Release No. 8078-19 ] alleging, among other …
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… has only finalized 131—that’s 33 percent. For the CFTC alone, we do better than all other regulators, having … loopholes from regulation. 3. Regulators should look to the CFTC for guidance regarding any exemption relating to "bona … I can tell you that in 2008 most of the staff at the CFTC, and all of the other Commissioners didn’t see a need …
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… DC — The U.S. Commodity Futures Trading Commission (CFTC) announced that it obtained a federal court order … District of Texas, on April 2, 2009, fully settles all charges in the civil lawsuit filed by the CFTC on March 13, 2008 against Hudgins. (See CFTC News …
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… law, sufficiency of factual evidence to support the alleged charges, lack of fair notice, and abuse of discretion or … actions to maintain the public’s trust in the CFTC’s ability to oversee our markets with fairness and in … to engage in activity in the derivatives markets. These CFTC registrants must comply with extensive requirements, …
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