Displaying results 2811 - 2820 of 2823
… Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission … and joint interim final rule: July 23, 2012, except for CFTC regulations at 17 CFR 1.3(m)(5) and (6), which are … led to a complete loss of their investments. ``SEC Charges Stifel, Nicolaus and Former Executive with Fraud in …
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… A. Donovan, Deputy Director, (202) 418-5096, edonovan@cftc.gov ; August A. Imholtz III, Special Counsel, (202) 418-5140, aimholtz@cftc.gov ; Abigail S. Knauff, Special Counsel, (202) … cleared and settled by the DCO; (b) the fees that the DCO charges its members and participants; (c) the DCO's margin- …
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… (``SEC''); and Commodity Futures Trading Commission (``CFTC''). ACTION: Notice of proposed rulemaking. … SUMMARY: The OCC, Board, FDIC, SEC, and CFTC (individually, an ``Agency,'' and collectively, the … at www.sec.gov to receive notifications by email. CFTC: You may submit comments, identified by RIN 3038-AE72 …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is publishing for public comment a proposed rule … by RIN 3038-AE84, by any of the following methods: CFTC Comments Portal: https://comments.cftc.gov . Select the ``Submit Comments'' link for this …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing amendments to regulations concerning … and RIN 3038-AD99, by any of the following methods: CFTC Comments Portal: https://comments.cftc.gov . Select the … limit level, and can impose liquidity and concentration surcharges to initial margin if they are vertically integrated …
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… I give the standard law enforcement disclaimer that charges are allegations and that defendants have the right … facing criminal prosecutions and civil prosecutions by the CFTC and SEC. Damian Williams, the U.S. Attorney for the … the crypto industry. In reviewing applications before the CFTC, I will be scrutinizing systems and operational …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules amending its current system … Division of Market Oversight, 202-418-5429, rberdansky@cftc.gov; David Taylor, Associate Director, Division of Market Oversight, 202-418-5488, dtaylor@cftc.gov, or David Steinberg, Associate Director, Division …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting amendments in this final rule (``Final … CONTACT: Dorothy DeWitt, Director, (202) 418- 6057, ddewitt@cftc.gov ; Rachel Reicher, Chief Counsel, (202) 418-6233, … a return that, at minimum, covers the costs of its carrying charges. With this exemption, the market participant is able …
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… and RIN 3038-AE67, by any of the following methods: CFTC Comments Portal: https:// comments.cftc.gov. Select the ``Submit Comments'' link for this … storage, transaction fees, insurance and other costs and charges lawfully incurred in connection with the purchase, …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing amendments to parts 23, 43, 45, and 49 … methods: The agency's website, at http://comments.cftc.gov . Follow the instructions for submitting comments … use regardless of whether the swap data repository charges a fee for reporting such SDR data. Control. The …
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