Kelley and Shumway solicited several investors to invest at least $3.1 million with Blackbird, or through a separate "friends and family" account, which Kelley claimed ...
DSIO will not recommend an enforcement action against an FCM or an IB, in the case of an introduced account, that provides a non-institutional customer ...
The Division of Market Oversight (“Division”) continues to assess the situation involving inter-affiliate swap trading and the trade execution requirement, including establishing a permanent solution, ...
Because foreign jurisdictions have made significant progress in implementing mandatory clearing regimes, but have not yet fully implemented regimes that encompass the range of products ...
The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required ...
The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...
The U.S. Commodity Futures Trading Commission (CFTC) today released the agency’s enforcement results for fiscal year (FY) 2016. In the fiscal year that ended in ...
"I congratulate Tom Sexton on being named president and CEO of the National Futures Association (NFA). Tom brings a wealth of experience and a deep ...
The results show that clearinghouses had ample resources to withstand extremely stressful market scenarios on the test date. And they further showed that risk was ...
The CFTC charged them with unlawfully manipulating, attempting to manipulate, spoofing, and use of a manipulative device — all with regard to the E-mini S&P ...