Based upon the representations made in the Correspondence, the Division will not recommend that the Commission commence any enforcement action against “B” for failure to ...
Make no mistake about it: we need position limits. In my time as a Commissioner, I have spoken with farmers, processors, and others involved in ...
The Complaint alleges that Klatch, upon his release from prison in 2014, implemented a new series of investment schemes between April 2014 and December 2015. ...
You request, on behalf of the Futures Industry Association (“FIA”) and member futures commission merchants (“FCMs”) an interpretation regarding withdrawals of FCM excess residual interest ...
In addition, the Order finds that E*TRADE Securities and E*TRADE Clearing violated CFTC Regulation 166.3 by failing to implement policies and procedures to ensure the ...
The amendments would integrate existing advisory guidance and the amendments to part 9 would also incorporate swap execution facilities (‘‘SEFs’’) and update provisions currently applicable ...
This rule sets forth the maximum, inflation adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (CEA) and ...
The CFTC has long given credit for cooperation in determining whether enforcement action is warranted, the nature of charges that should be brought, and the ...
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to traders on its U.S. Treasury and ...
Keynote Address of CFTC Commissioner J. Christopher Giancarlo Before SEFCON VII Making Market Reform Work for America January 18, 2017 Introduction Thank you for that ...