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Felix Shipkevich September 20, 2012

The Commodity Markets Council, a Washington-based lobbying outfit that represents agricultural and energy firms, has urged the CFTC to delay Dodd-Frank regulations on swap dealers from beginning to take effect next month.

Felix Shipkevich July 10, 2012

The U.S. Commodity Futures Trading Commission (“CFTC”) voted today on a number of key rules. Chief among them is the rule defining a “swap,” which will be used to determine which financial products will be interpreted as swaps and thus be swept in under the registration and reporting requirements under Dodd-Frank. The rule defining a swap was passed 4-1.

Felix Shipkevich March 30, 2012

Tomorrow is the deadline for hedge funds to register with the SEC, and the agency says it expects to receive about 70% more applicants than originally anticipated. In July the agency predicted that only about 750 applicants would seek registration. The SEC raised the number to 1,3000. The Dodd-Frank Act included the registration provision for […]

Felix Shipkevich March 29, 2012

The CFTC announced that it will seek to revoke the registration of an Illinois-based resident and his company, a registered CPO. Joseph A. Dawson is the president and sole principal of Strategic Research LLC. He is subject to disqualification because he was convicted of committing wire fraud and misappropriation. On March 8, 2011, Dawson pled […]

Felix Shipkevich March 13, 2012

The CFTC is requesting submissions from industry participants who wish to be considered as the source for identifications of swap counter parties and swap data reporting. Under the CFTC’s final swap data recordkeeping and reporting rules, and an identifier must be used in recordkeeping and reporting under CFTC jurisdiction. The Commission anticipates that what is […]

Felix Shipkevich October 19, 2011

The NFA’s Business Conduct Committee has issued a complaint against Commodity Trading Advisor (“CTA”) Golden Forex. According to the NFA, Golden Forex submitted misleading information to the Association about its listed Associated Person (“AP”), Kathie Bui. Golden Forex is a California based CTA, and a member of the NFA since May 2009. The company is […]

Felix Shipkevich August 26, 2011

The CFTC has filed and settled charges against Craig A. Taffel for operating as an unregistered Futures Commission Merchant (“FCM”). The registered floor broker based in Chicago has been ordered to pay $180,000 in civil monetary penalty, and must cease and desist from further violations of the Commodities Exchange Act. According to the CFTC, from […]