The Division of Market Oversight and the Division of Clearing and Risk issued a letter stating that they will not recommend that the Commission take ...
No-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4), and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held ...
No-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held ...
CFTC Charges Florida-based Forex Monthly Income Fund, LLC and its Principals Jean Chauvel, Renaud Pierre-Charles, and Employee and Agent Robert Tripode with Forex Pool Fraud ...
The host of violations included misrepresenting the reasons why the defendants could not honor customer withdrawal requests.
The charges included entering into fictitious sales and non-competitive transactions.
No-action relief from compliance with certain terms of required Regulation 30.7(c). This was due to expire in March 2015.
SEFs and DCMs will have time-limited no-action relief from Commission Regulation 37.9(a)(2) regarding methods of execution for required transactions, or Commission Regulations 37.203(a) and 38.152 ...
CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors.
CFTC Charges Florida Company International Monetary Metals, Inc. and Florida Resident Martin Sommers with Engaging in Illegal, Off-Exchange Precious Metals Transactions.