The Complaint alleges that from at least January 2016 through October 2016, Powderly solicited customers and prospective customers by claiming that he and a university ...
RED List works in conjunction with the CFTC’s SmartCheckSM campaign to help investors identify and protect themselves against illegal conduct. The RED List also ...
The Complaint alleges that the Johnsons misappropriated all of pool participants’ funds by paying their own personal expenses, by depositing pool participants’ funds into their ...
The Division will not recommend that the Commission take an enforcement action against Eurex Clearing for a violation of Commission Regulation 39.19(c)(3)(ii) or Condition 4 ...
In sum, regulatory harmonization is an imperative today. Our times are turbulent. And in the midst of these rapid changes, the electorate, in several jurisdictions, ...
Absent the relief provided herein, University “A” Management Company and the “Z” Fund Directors could be required to register as CPOs with respect to their ...
For the past six years, the CFTC has operated at a breakneck pace driven by Dodd-Frank’s mandate for swift rule implementation on swaps. That mandate ...
Based on the foregoing and the representations made by “A”, and without making a determination as to whether the activity in question is a “covered ...
The CFTC Order finds that for a number of years, from at least May 2011 and continuing through at least October 2014, Davisco accepted orders ...
Because the WMBAA and its members have been unable to develop a solution to meet the confirmation requirements in Commission Regulation 37.6(b), it requests this ...