This exemption letter from the CFTC permits certain commodity pool operators from having to file Form CPO-PQR.
The CFTC acts to prevent the defendant from destroying books and records and to give it immediate access to them.
FirstRand and another foreign-based company prearranged noncompetitive corn and soybean futures trades.
Merrill gets hit for failing to diligently supervise its officers’, employees’, and agents’ processing of futures exchange and clearing fees charged to its customers.
Subject to specific conditions, the Division of Swap Dealer and Intermediary Oversight granted the Federal Home Loan Mortgage Corporation and the Federal National Mortgage Association ...
Extension of Time-Limited No-Action Relief with Respect to Certain Commodity Exchange Act Provisions That May Apply to Southwest Power Pool, Inc. and/or Its Participants.
These crooks solicited retail customers, generally by telephone, to buy and sell physical precious metals, such as gold and silver, in off-exchange, leveraged transactions.
No-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).
Time-limited no-action relief for the Clearing Corporation of India Ltd. with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.
Time-limited no-action relief granted by DMO to swap execution facilities (SEFs) for incorporating by reference previously-negotiated freestanding agreements into SEF-generated confirmations for uncleared swap transactions, ...