Category: CFTC

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

September 16, 2022

The Market Risk Advisory Committee to Meet on September 28

September 15, 2022

CFTC’s Division of Data Announces Limited Modifications to the Technical Specification for Parts 43 and 45

September 8, 2022

Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud

September 6, 2022

CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives

September 6, 2022

CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks

September 6, 2022

CFTC’s Energy and Environmental Markets Advisory Committee to Meet September 20 in Oklahoma

September 2, 2022

Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order

August 26, 2022

CFTC Announces Review and Public Comment Period of KalshiEx Proposed Congressional Control Contracts Under CFTC Regulation 40.11

August 24, 2022

CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures

August 19, 2022

CFTC Charges Michigan Commodity Pool Operator and His Company with Sales Solicitation Fraud as Part of a Commodity Pool Scheme

August 17, 2022

CFTC Staff Extends Temporary No-Action Letter Regarding Capital and Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers

August 16, 2022

CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case

Category: CFTC

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

The Market Risk Advisory Committee to Meet on September 28

CFTC’s Division of Data Announces Limited Modifications to the Technical Specification for Parts 43 and 45

Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud

CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives

CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks

CFTC’s Energy and Environmental Markets Advisory Committee to Meet September 20 in Oklahoma

Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order

CFTC Announces Review and Public Comment Period of KalshiEx Proposed Congressional Control Contracts Under CFTC Regulation 40.11

CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures

CFTC Charges Michigan Commodity Pool Operator and His Company with Sales Solicitation Fraud as Part of a Commodity Pool Scheme

CFTC Staff Extends Temporary No-Action Letter Regarding Capital and Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers

CFTC Wins $7.49 Million Jury Verdict in Texas Broker Trading Case

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