Category: CFTC

September 29, 2022

CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations

September 29, 2022

CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests

September 29, 2022

CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF

September 27, 2022

The Market Risk Advisory Committee Announces Agenda for September 28 Meeting

September 27, 2022

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods

September 27, 2022

CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person

September 26, 2022

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

September 26, 2022

CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility

September 26, 2022

CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures

September 26, 2022

CFTC Commissioner Christy Goldsmith Romero Calls for Nominations and Topics for the Technology Advisory Committee

September 23, 2022

Registration Opens Today for a CFTC Financial Education Event as Part of World Investor Week – October 3-9

September 23, 2022

CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures

September 23, 2022

CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings

September 22, 2022

CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act

September 22, 2022

CFTC Charges Five Entities for Failing to Register as FCMs

September 22, 2022

CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations

September 19, 2022

CFTC Staff Issues No-Action Letter to Taiwan Futures Exchange

September 16, 2022

Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants

Category: CFTC

CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations

CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests

CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF

The Market Risk Advisory Committee Announces Agenda for September 28 Meeting

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods

CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility

CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures

CFTC Commissioner Christy Goldsmith Romero Calls for Nominations and Topics for the Technology Advisory Committee

Registration Opens Today for a CFTC Financial Education Event as Part of World Investor Week – October 3-9

CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures

CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings

CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act

CFTC Charges Five Entities for Failing to Register as FCMs

CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations

CFTC Staff Issues No-Action Letter to Taiwan Futures Exchange

Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants

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