Acting Chair Wetjen talks about the Volcker Rule, stating "CFTC estimates that, under its Volcker regulations, it has authority over more than 100 registered swap ...
The default judgment found that on at least 10 occasions CT Managers issued, or caused to be issued, statements to pool participants that fraudulently inflated ...
This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, ...
Hampton ordered to pay a $1.5 million penalty and permanently barred from any commodity-related activities. In a related criminal matter, Hampton sentenced to 30 months ...
Commissioner O'Malia discusses technology, swap trade execution, end users, Commission rule 1.35 and more.
Commissioner O'Malia attacks the Commission's approach to MAT determination. He finds it "especially troubling given the CFTC Chief Economist’s assessment that these packaged transactions comprise ...
Rice operated a fraudulent scheme that solicited approximately $1.7 million from one individual to trade leveraged off-exchange forex contracts.
The defendants violated CFTC Regulations that require cotton merchants and dealers that hold or control at least 100 cotton futures positions to report their level ...
This CFTC rule makes technical amendments to the Commission’s regulations that correct cross-references to regulations administered by the Financial Crimes Enforcement Network (FinCEN), a bureau ...
Commissioner O'Malia applauds a tweak to the Volcker rule concerns the holding of TruPS CDOs by community banks affected by the Volcker Rule.