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Commodity Futures Trading Commission
Freedom of Information Act Annual Report
for Fiscal Year 2006
(October 1, 2005 to September 30, 2006)
I. Basic Information Regarding Report
II. How to Make a FOIA Request
III. Definitions of Terms and Acronyms Used in the Report
IV. Exemption 3 Statutes
V. Initial FOIA/PA Requests
VI. Appeals of…
...In recognition of World Elder Abuse Awareness Day, June 15, the Commodity Futures Trading Commission reminds the public that fraud criminals target older adults because they have typically acquired more assets through a lifetime of saving and investing. However, by being aware of common frauds and sharing information, you may be able to both avoid fraud and stop it from harming others.…
… requiring the registration of floor brokers and ethics training for all individual registrants, as mandated by the … requiring the registration of floor brokers and ethics training for all individual registrants, as mandated by the …
...The Commodities Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) are jointly issuing this Investor Bulletin to make investors aware of frauds involving investments in physical precious metals, in particular those involving self-directed individual retirement accounts (SDIRAs).[1]
Gold or silver IRA frauds frequently target older workers and retirees…
… as people who supervise the APs. Secondly, we deleted the training requirement for associated persons. There was a six-hour training requirement which was supposed to combine training on how the instrument works, ethics, customer …
… framework, independent testing of the compliance program, training, and recordkeeping; Appendix A of the proposed rule … banking entity personnel or a qualified outside party; Training for trading personnel and managers, as well as … potential for misuse of the exemption, while not unduly constraining the important liquidity and intermediation services …
… set forth in Commission regulations; (ii) provide training to all relevant personnel on applicable position … Commission clarify that as long as an SD or MSP provides training on the position limits and establishes and enforces … limits * * *'' (modification to rule text in italics). 2. Training on Applicable Position Limits--Sec. 23.601(c) SIFMA …
… The regulations also would have required mandatory ethics training, which would have had to have been performed every … of instructional requirements. In addition, the ethics training portion of the rules were changed to include that … its intent to become a trainer. Mr. Kuserk talked about the training that was required to become registered. Trainers …
… employees about prohibited personnel practices and the WPA; Training supervisors on prohibited personnel practices and … employees about prohibited personnel practices and the WPA; Training supervisors on prohibited personnel practices and …
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Federal Register, Volume 78 Issue 249 (Friday, December 27, 2013)[Federal Register Volume 78, Number 249 (Friday, December 27, 2013)]
[Notices]
[Pages 78864-78878]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-30974…