Tag: registration

SEF registration rule to slow multi-dealer trading.

Felix Shipkevich

CFTC’s Scott O’Malia discusses automated trading rules.

Felix Shipkevich

CFTC grants temporary registration to SwapEx, LLC, GFI Swaps Exchange LLC, and MarketAxess SEF Corporation

Felix Shipkevich

Gensler: CFTC Faces Challenges Implementing Volcker Rule

Felix Shipkevich

SEF Rules Approval Leads to Early December Projection for Transacting all Standardized Swaps on SEFs

Felix Shipkevich

Oil Industry Avoids Swaps Rules

Felix Shipkevich

CFTC Charges Agape Entities with Futures Trading Scheme

Felix Shipkevich

CFTC Charges CME Group with Disclosing Customer Trades

Felix Shipkevich

NFA Registers Cargill as Swap Dealer

Felix Shipkevich

CFTC Escalates Enforcement Actions Against Commodity Pool Fraud

Felix Shipkevich

CFTC Obtains Federal Court Order Against Wagner and Wagner for $2m

Felix Shipkevich

CFTC Seeks to Revoke Registration of Crabapple Capital for $1m Fraud

Felix Shipkevich

CFTC Enforcement Update: Pro Trading Course’s CTA Registration Revoked

Felix Shipkevich

CFTC Obtains $340,000 Penalty Against Trans Global for Commodity Fraud

Felix Shipkevich

CFTC Unveils Real-Time Reporting of Swap Transactions and More

Felix Shipkevich

CFTC Enforcement Watch for 2013: Commodity Pool Scams, Rate-Rigging…

Felix Shipkevich

CFTC Issues No-Action Relief for Banks, Brokers, Advisors…

Felix Shipkevich

New Court Battle Points to Overlap Between CFTC and SEC

Felix Shipkevich