Displaying results 31 - 40 of 76
Manuel F. Cohen Endowed Lecture by Commissioner Kristin Johnson at George Washington University Law School
… exchange order book. This data set can be used to identify spoofing and market microstructure manipulation schemes. … [24] Using a high-frequency trading strategy known as “spoofing,” Sarao entered tens of millions of dollars of … pled guilty to one count of wire fraud and one count of “spoofing.” This simplified description does not reach the …
Keynote Remarks of Chairman Timothy Massad at SEFCON VII
… We’ve been at the forefront in bringing actions against spoofing and other forms of manipulation resulting from … and it was. We’ve been at the cutting edge of issues like spoofing and benchmark manipulation, we’ve protected retail …
Testimony of Chairman J. Christopher Giancarlo before the Senate Committee On Appropriations Subcommittee on Financial Services and General Government, Washington, D.C.
… numerous significant actions to root out manipulation and spoofing and to protect retail investors from fraud.   The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. As of this … in jail. In January 2018, the CFTC filed manipulation and spoofing cases against six individuals in coordination with …
Testimony by Chairman Rostin Behnam Before the Subcommittee on Agriculture, Rural Development, Food and Drug Administration and Related Agencies Committee on Appropriations, U.S. House of Representatives
… fiscal year. [8] Manipulative and Deceptive Conduct and Spoofing: DOE is the CFTC’s most effective tool in rooting … defendants engaged in cross-market and single market spoofing involving CBOT soybean futures and options on soybean futures, and brought several actions finding spoofing in a number of different markets, including gold …
Testimony of Chairman Timothy Massad before the U.S. House Appropriations Committee, Subcommittee on Agriculture, Rural Development, Food and Drug Administration and Related Agencies
… of new, complicated forms of illegal behavior, such as spoofing. The CFTC must have the necessary resources to … pools. For example, a recent case involving alleged spoofing in connection with the May 2010 “Flash Crash” took …
Keynote Speech of CFTC Commissioner Sharon Y. Bowen before the Quadrilateral Meeting at the European Central Bank (Frankfurt, Germany)
… CFTC initiated an action against a trader in England for spoofing the E-mini S&P 500 contract, which is a stock … market index futures contract based on the S&P 500 index. Spoofing is the practice of sending in bid offers for …
Supporting Statement of Commissioner Dan M. Berkovitz Regarding Sunoco Enforcement Action and Opposing “Bad Actor” Waiver
… the Commission’s enforcement against Sunoco LP for the spoofing of the crude oil, gasoline, and heating oil futures …
Keynote Address of Chairman Rostin Behnam at the Futures Industry Association Expo 2023, Chicago, Illinois
… zero tolerance policy towards manipulative, deceptive, and spoofing transactions was illustrated several times, most … its head-trader and CEO Andrew Serotta charging them with spoofing, engaging in a manipulative and deceptive scheme, … Trading in Connection with Swaps Related to Bond Issuances Spoofing, and Supervision and Mobile Device Recordkeeping …
Opening Statement, Third Series of Proposed Rulemakings Under the Dodd-Frank Act
… as to how the Commission will interpret the language on spoofing or trading in the close. As a result, it is …
Joint Statement of Concurrence of Commissioners Dawn D. Stump and Rostin Behnam Regarding JPMorgan Chase & Co., et al.
… findings that the Respondents engaged in unlawful spoofing, manipulation, and attempted manipulation in …