Commodity Futures Trading Commission (CFTC)

Yadgir held an aggregate live cattle futures net long position that totaled 620 contracts, exceeding his speculative position limit by 70 contracts.

This CPA did not have experience auditing FCMs or any entity that held customer segregated accounts, was not qualified to conduct an FCM audit and ...

Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities and Designated Contract Markets from the Requirement to Record Oral Communications, Pursuant to Commission Regulation ...

Action is a result of CFTC’s 2012 sweep against foreign currency firms for failure to register under the 2008 Farm Bill, the Dodd-Frank Act, and ...

No-action relief regarding format of acknowledgment letters and format and content of daily reports for DCO winding down operations in anticipation of vacating its DCO ...

You have to go back more than one year to when we first told you about a new CFTCrule that would require commodity trading advisers ...

The Division of Clearing and Risk and Division of Market Oversight issued a no-action letter providing time-limited and specific relief for designated contract markets from ...

The Commission alleges the firms created false financial and trading records that purported to show that they traded according to a proprietary algorithmic trading system ...

Order includes restitution award and prohibitions against future activity.