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Keynote Remarks of Chairman Timothy Massad at SEFCON VII
... Keynote Remarks of Chairman Timothy Massad at SEFCON VII January 18, 2017 Thank you for that warm introduction. It’s great to be back at SEFCON. What a difference elections can make. Eight years ago on this day I was taking the train to Washington to attend the…
Keynote Remarks of Commissioner Brian D. Quintenz before the Symphony Innovate 2017 Conference
… practices. From the mandatory and thorough cybersecurity training I’ve completed since joining the agency, it is … problem. While I believe our agency’s employee cyber-training is robust, I would like to work with the private sector through the TAC to ensure we are training our people according to the highest standards, on …
Address by Chairman James E. Newsome before the 24th International SFOA Bürgenstock Conference, The International Forum for Derivative Markets Re: Regulators Meeting, Bürgenstock, Switzerland
… in risk-based surveillance methodologies to give us training in the philosophy and specifics of applying those … our laws provide for markets to innovate. This year, at our training seminar, in addition to a full week’s program of …
2010-29009
… and major swap participant would be required to provide training to all relevant employees on applicable position … 4 hours]. Documentation of Annual Position Limit Compliance Training and Audit Number of registrants: 300. Estimated … Each swap dealer and major swap participant shall provide training to all relevant personnel on applicable position …
CFTC Orders StoneX Markets LLC to Pay $650,000 for Violations of Swap Business Conduct Standards
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against StoneX Markets LLC (StoneX), a registered swap dealer, for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that StoneX failed to disclose thousands of Pre-Trade Mid-Market Marks (PTMMM), in violation of…
A Delegation from the China Securities Regulatory Commission and Representatives from Chinese Futures Exchanges Attended a Two-Day Technical Assistance Program at the CFTC on November 15 and 16, 2007
… CFTC’s Office of International Affairs presented a two-day training program for the China Securities Regulatory …
CFTC Announces the Appointment of Jeff Harris as Chief Economist
… economic research, expert testimony, education and training. “I am pleased to announce Jeff’s new role at the …
CFTC Orders Logista Advisors LLC to Pay $250,000 for Supervision Failures Related to Spoofing on a Foreign Futures Exchange
… September 2013 through September 2014 was given inadequate training, direction, and supervision, which resulted in him …
“Time for an Oil Change?”
... “Time for an Oil Change?” Opening Statement of Commissioner Bart Chilton Before the CFTC Technology Advisory Committee, Washington, D.C. March 1, 2011 Thanks to all of you for your participation today.  Thanks especially to Chairman O’Malia for leading this committee and his support…
CFTC Seeks to Revoke the Commodity Trading Advisor Registration of Pro Trading Course, LLC
… and sales solicitations to sell its commodity futures training program and access to PTC’s Virtual Trading Room. …