Displaying results 131 - 140 of 207
CFTC Posts Record-Breaking Enforcement Year
… resolution for violations relating to manipulation and spoofing; Filed an action in coordination with more state …
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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 …
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Opening Remarks of Chairman Rostin Behnam at the CFTC and the Center for Risk Management Education and Research (CRMER) at Kansas State University AgCon 2024
… from misreporting to manipulative activities, including spoofing and misconduct involving confidential information. …
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Testimony of Chairman Timothy G. Massad before the U.S. House Committee on Agriculture
… using them. We have new authority, for example, to attack “spoofing,” where a party enters a bid or offer without the … this new authority against a firm and its principal for spoofing in 2013, one of the first such cases, and last … the U.S. Attorney for Illinois indicted the principal for spoofing, based on a referral from us. We have also directed …
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Remarks of Chairman Timothy Massad before the 2016 P.R.I.M.E. Finance Annual Conference
… interesting issues. New forms of bad behavior, such as spoofing, are complicated and constantly evolving. As I … requires sophisticated IT capabilities. In the case of spoofing and manipulation, however, it also involves a …
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CFTC Division of Enforcement Issues Report on FY 2018 Results
… task forces focused on four different substantive areas — spoofing and manipulative trading, virtual currency, insider …
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Remarks of Chairman Timothy Massad before the Exchequer Club of Washington, D.C.
… to integrity of benchmarks, improper behavior such as spoofing, traditional scams such as Ponzi schemes and … actions against those who engage in activities such as spoofing and other forms of manipulation. The proposal we …
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Opening Statement of Chairman Timothy Massad before the Commission Open Meeting
… to integrity of benchmarks, improper behavior such as spoofing, traditional scams such as Ponzi schemes, and …
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Keynote of Chairman Rostin Behnam at the 2023 U.S. Treasury Market Conference
… big data and advanced analytical techniques to identify spoofing behavior and other disruptive trading strategies in … algorithms have already identified multiple potential spoofing cases including more complex spoofing techniques like cross-market spoofing, which have …
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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 …
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