Time-limited no-action relief from compliance with the quarterly risk reporting requirement under Regulation 23.600(c)(2) for any fiscal quarters ending on or before July 31, 2014.
Acting Chair Wetjen believes in remaining "true to congressional intent to maximize transparency where appropriate, but work to ensure an orderly transition to what remains ...
Time-Limited No-Action Relief for Members of Designated Contract Markets and Swap Execution Facilities that Are Not Registered with the Commission from the Requirement to Record ...
Federal court orders Fred Jager, Harold E. Martin, Jr. and the Hunter Wise Companies to Pay over $108 Million in Restitution and Penalties. Court Calls ...
Commissioner O'Malia implores that "it is critically important that international regulators come together now to harmonize swap data reporting, exchange trading, and central counterparty (CCP) ...
Federal Court Issues Order Freezing Defendants’ Assets and Prohibiting Destruction of Books and Records.
This firm settled for failing to comply with minimum financial requirements for FCMs and RFEDs.
The Division of Swap Dealer and Intermediary Oversight granted no-action relief from the requirement to register as a commodity pool operator to a Delegating CPO ...
The allegations include engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.
RP Martin Accepted over $400,000 for Unlawful Manipulative Assistance to Traders, the CFTC alleges. CFTC Orders RP Martin to Pay a $1.2 Million Civil Monetary ...