No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the ...
the court found that the defendants fraudulently solicited and accepted funds from customers for the purported purpose of trading forex. Further, the court found ...
Federal Court Finds Former Precious Metals CEO Robert Escobio in Contempt of Court for Failure to Pay Restitution to Defrauded Customers
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory organization’s (“SRO”) financial surveillance examination ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending selected provisions of its regulations to simplify certain requirements for swap dealers (“SDs”) and major ...
CFTC won't pursue an enforcement action against a swap dealer acting as a prime broker pursuant to a prime brokerage arrangement.
This final rule is another Project KISS proposal simplifying and reducing burdens by revisiting our rules based on staff implementation experience and public comment. ...
Powderly falsely represented to customers and prospective customers that he and a university professor had developed a commodity futures trading program that generated exceptional hypothetical ...
making this substituted compliance determination, Commission staff has conducted a principles-based, holistic analysis that focuses on regulatory outcomes rather than on a strict rule-by-rule ...
This overly complex and unduly narrow approach was reflected in the original comparability determination for Japan, which left firms subject to an impractical patchwork of ...