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Results: 11-20 of 182

Second recent CFTC “banging the close” case results in various CEA violations, fines, trading bans

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 6 2013

On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents

Protecting a position by “banging the close” and “spoofing” will be penalized the CFTC

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 21 2013

On November 6, 2013, the Commodity Futures Trading Commission filed suit against Donald R. Wilson and his company, DRW Investments, for "banging the

“Red flags” of market manipulation and effective compliance programs

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 13 2013

Last week current and former supervisory personnel in the Enforcement Divisions of the Commodity Futures Trading Commission and Federal Energy

Who are the swap dealers?

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 11 2013

We recently passed the first rolling 12-month period for determining which entities will surpass the CFTC's de minimis swap dealing levels and thus

CFTC re-proposes position limits on physical commodity derivatives

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 6 2013

Yesterday, the CFTC voted to approve a new position limits rule that resembles the agency's previous short-lived rule (vacated and now abandoned

CFTC abandons old position limits rule in favor of new rule

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 29 2013

According to a statement by Commissioner O'Malia today, the CFTC has voted to dismiss its appeal of the federal district court decision striking down

Record CFTC fines in 2013

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 28 2013

On October 24, 2013, the CFTC Enforcement Division announced its 2013 fiscal year results - 82 filed enforcement actions and record fines of $1.7

Lie to protect yourself or your employer in CFTC investigations and you will be punished

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 8 2013

Section 753 of the Dodd-Frank Act added a new section to the Commodity Exchange Act to make it unlawful "for any person to make any false or

CFTC responds to FAQ on commodity options

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 30 2013

Today, the CFTC Division of Market Oversight published a response to frequently asked questions regarding commodity options, including reporting

FERC Chairman’s letter to Senate highlights FERC-CFTC tension and a voluntary trader ban in the JP Morgan $410 million FERC settlement

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 12 2013

This past Monday, September 9, the Federal Energy Regulatory Commission (FERC) posted a letter from its chairman, Jon Wellinghopf, to Senators