Displaying results 121 - 130 of 395
07-5185
... [Federal Register: October 22, 2007 (Volume 72, Number 203)] [Notices] [Page 59515] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr22oc07-37] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Agency…
e8-27346
... FR Doc E8-27346[Federal Register: November 18, 2008 (Volume 73, Number 223)] [Notices] [Page 68422] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr18no08-78] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION…
e9-28846
... FR Doc E9-28846[Federal Register: December 2, 2009 (Volume 74, Number 230)] [Notices] [Page 63122-63123] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr02de09-23…
CFTC Orders JSC VTB Bank and VTB Capital PLC Jointly to Pay a $5 Million Civil Monetary Penalty for Unlawfully Executing Fictitious and Noncompetitive Block Trades of Russian Ruble/U.S. Dollar Futures Contracts
… Act (CEA) and a CFTC Regulation, as charged, and to conduct training addressing the ethics, compliance, and legal …
CFTC Charges Melody Nganthuy Phan of California and Her Companies, My Forex Planet, Inc., Wal Capital, S.A., and Top Global Capital, Inc., with Operating a Fraudulent $3.7 Million Off-Exchange Forex Scheme
… 2011, Phan, Wal Capital, and TGC, through MFP, used forex training classes to directly and indirectly solicit actual …
Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated
… and addressed. Cantor also lacked sufficient procedures and training concerning the regulatory requirements relating to …
CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried
… implementing enhanced supervision policies, procedures, and training. GSEC provided back-office and other services to …
Morgan Stanley Capital Group, Inc. to Pay a $14 Million Civil Penalty to Settle CFTC Charges that the Company Concealed a Large Block Crude Oil Trade
… and modified trading rules; 2) administer a yearly enhanced training program regarding CFTC and exchange trading rules …
CFTC Orders X-Change Financial Access LLC to Pay a $150,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures
...May 29, 2018 CFTC Orders X-Change Financial Access LLC to Pay a $150,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against X-Change Financial Access LLC (XFA) of Chicago, Illinois, for failure to diligently supervise its employees’…
Chairman Behnam to Participate in a Conversation at the 2022 FINRA Annual Conference
... WHAT: Chairman Rostin Behnam will participate in a conversation about his agenda and the state of cryptocurrency regulation with FINRA President and CEO Robert Cook at the 2022 Financial Industry Regulatory Authority (FINRA) Annual Conference WHEN: Wednesday, May 18, 2022 9:00 a.m. to 9:30 a.m. (EDT)…