Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities and Designated Contract Markets from the Requirement to Record Oral Communications, Pursuant to Commission Regulation ...
Action is a result of CFTC’s 2012 sweep against foreign currency firms for failure to register under the 2008 Farm Bill, the Dodd-Frank Act, and ...
No-action relief regarding format of acknowledgment letters and format and content of daily reports for DCO winding down operations in anticipation of vacating its DCO ...
The Division of Clearing and Risk and Division of Market Oversight issued a no-action letter providing time-limited and specific relief for designated contract markets from ...
The Commission alleges the firms created false financial and trading records that purported to show that they traded according to a proprietary algorithmic trading system ...
Order includes restitution award and prohibitions against future activity.
The investment manager of a cash collateralized loan obligation (CLO) transaction requested, and DSIO granted pursuant to Regulation 140.99, a no action position from DSIO ...
Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States
An insurance company requested no-action relief from the Division, in order to allow the company to provide reinsurance of pension plans' longevity risks through multi-step ...
California Resident Charles Victoria and his Companies PGS Capital Wealth Management and PGS Capital Credit, Inc., and Florida Resident Frank O. Davies and his Company ...