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Results: 11-20 of 5,115

Former CBOT floor broker fined US $200,000 by CFTC for trading, recordkeeping and supervision violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Kent Woods, a long time floor broker on the Chicago Board of Trade, and an associated person and principal of Futures International, Inc., an

Three Senators criticize CFTC’s Brian Hunter settlement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Three US SenatorsMaria Cantwell, Dianne Feinstein and Carl Levinpenned a letter to Commodity Futures Trading Commission Chairman Timothy Massad

CFTC issues relief from certain Part 45 requirements to Singapore Exchange Derivatives Clearing Limited

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 8, the Commodity Futures Trading Commission’s Divisions of Market Oversight and Clearing and Risk (Divisions) issued No-Action Letter No

CFTC hears testimony on Bitcoin

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The Global Markets Advisory Committee of the Commodity Futures Trading Commission held a public meeting on October 9, in which one panel addressed

CFTC excludes certain swaps with utility special entities from the Special Entity De Minimis calculation for purposes of swap dealer registration

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 9 2014

On September 26, 2014, the Commodity Futures Trading Commission ("CFTC") published a final rule in the Federal Register permitting a person to

CFTC announces extension of no-action relief for SEFs and DCMs from compliance with certain CFTC Regulations for package transactions

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • October 8 2014

On September 30, 2014, the US Commodity Futures Trading Commission's ("CFTC") Divisions of Clearing and Risk and Market Oversight announced the

CFTC and Australian Securities and Investments Commission sign Memorandum of Understanding to enhance supervision of cross-border regulated entities

  • Shearman & Sterling LLP
  • -
  • Australia, USA
  • -
  • October 8 2014

On September 30, 2014, the CFTC announced the signing of a Memorandum of Understanding ("MOU") with the Australian Securities and Investments

The financial report October 2, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • October 7 2014

The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of

The financial report October 2, 2014 - US Commodity Futures Trading Commission developments

  • DLA Piper LLP
  • -
  • Australia, USA
  • -
  • October 7 2014

The CFTC announced that CFTC Chairman Tim Massad and Chairman Greg Medcraft of the Australian Securities and Investments Commission have signed a

The financial report October 2, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • October 7 2014

The Financial Industry Regulatory Authority requested comment on a proposed rule to implement the Comprehensive Automated Risk Data System (CARDS