If SMAs are left with no choice but to set MTA to zero at the account level, this consequence negatively impacts SMA owners, imposing burdens ...
Between April and November 2014, while acting as a CPO for OCF, Oden improperly claimed an exemption from registration and violated numerous regulatory requirements for ...
According to the SIFMA AMG No-Action Request, it is not practicable, notwithstanding good-faith efforts, to comply with the new notice filing and certification requirements of ...
This letter provides relief for the period from and including Feb-ruary 4, 2017 to and excluding May 8, 2017 from compliance with certain provisions of ...
The Court’s Order stems from a CFTC Complaint filed on January 12, 2016 that charged DiCrisci and Oakmont with engaging in illegal, off-exchange precious metals ...
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 ...