Displaying results 2481 - 2490 of 2823
… one system of records under the Privacy Act of 1974: CFTC-44, Personnel Security Files, to be renamed CFTC-44, Personnel Clearance System. The Commission also is establishing two new systems of records: CFTC-48, Personal Property Claims, and CFTC-49, …
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… a little about the Commodity Futures Trading Commission (CFTC), and how we are organized to regulate financial … to the over-the-counter derivatives marketplace The CFTC was established in 1974 as an independent financial regulatory agency. The CFTC’s predecessor was set up in the 1930s to oversee …
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… metals transactions and failing to register with the CFTC. The court’s default judgment requires defendants Omega … to Omega Knight. The judgment and consent order resolve a CFTC enforcement case filed on June 13, 2018 [See CFTC Press Release 7740-18 ], charging the defendants with …
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… Washington, DC – The Commodity Futures Trading Commission (CFTC) announced that Judge I. Leo Glasser of the U.S. … penalty for violations of the Commodity Exchange Act and CFTC Regulations. The Order also imposes permanent trading … other injunctive relief. The Court’s Order stems from a CFTC Enforcement Complaint filed on April 23, 2018, that …
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… Oversight at the Commodity Futures Trading Commission (CFTC or Commission). I am pleased to appear before the Committee to provide an overview of the CFTC’s Concept Release on Risk Controls and System … markets. Background on Commodity Exchange Act and the CFTC’s Mission The purpose of the Commodity Exchange Act …
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… been finalized (119 final rules out of a total of 398). The CFTC’s scorecard shows we have a much better percentage of … to get all this done, it will require more resources at the CFTC. This is usually not a very popular subject (but that … it, to pay for governmental oversight of it? In fact, the CFTC is the only federal financial regulator that is not, in …
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… means for investors, consumers and businesses in America. CFTC Mission Let me start by saying what the Commodity Futures Trading Commission (CFTC) means for investors, consumers and businesses in America. At its core, the CFTC’s mission is to ensure the integrity and transparency …
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… brought by the Commodity Futures Trading Commission (CFTC). In an Order and Default Judgment (Order) filed July … funds; and that TEH and Dean failed to register with the CFTC as a Commodity Pool Operator (CPO) and Associated … from approximately April 2017 through the filing of the CFTC’s Complaint on January 18, 2018 (see CFTC Complaint and …
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… Tomorrow, the Commodity Futures Trading Commission’s (CFTC) Market Risk Advisory Committee (MRAC), under the … down to just 72 today. 3 Of the 72 FCMs registered with the CFTC as of March 2015, 15 firms were dormant, leaving only … small FCMs more harshly than large ones. In addition, the CFTC’s new rules on ownership and control reporting greatly …
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… 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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