Commodity Futures Trading Commission (CFTC)

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, ...

Securities Exchange Act of 1934Section 17 -- Records and ReportsRules and regulationsEvery national securities exchange, member thereof, broker or dealer who transacts a business in ...

(a) DEFINITIONS.—In this section— (1) the term ‘‘Federal banking agencies’’ means the Office of the Comptroller of the Currency, the Board of Governors of the ...

(a) IN GENERAL.— (1) STANDARD FOR CLEARING.—It shall be unlawful for any person to engage in a security-based swap unless that person submits such security-based ...

Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...

This unregistered CPO solicited and obtained approximately $524,000 from at least 17 investors (Pool Participants) to participate in a commodity pool for the purpose of ...

Court Grants Restraining Order Freezing Defendants’ Assets and Protecting Books and Records.

This was a fraudulent precious metals scheme.