US Commodity Futures Trading Commission Awards More Than $1 Million to Whistleblower

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission Thursday announced it will award more than…

CFTC Charges New Mexico Resident, Douglas Lien with Fraud in Long-Running Ponzi Scheme

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission today announced it has filed a civil…

CFTC Approves One Final, Two Proposed Rules at December 10 Open Meeting

Washington, DC (STL.News) At an open meeting today, the U.S. Commodity Futures Trading Commission approved one…

CFTC Orders Goldman Sachs to Pay $1 Million for Recordkeeping Violations

U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Goldman…

CFTC Commissioner Behnam Announces Two New Subcommittees of the Market Risk Advisory Committee

(STL.News) – U.S. Commodity Futures Trading Commission Commissioner Rostin Behnam today announced the creation of the…

CFTC Division of Enforcement Issues Annual Report for FY 2019

(STL.News) –The U.S. Commodity Futures Trading Commission’s Division of Enforcement (DOE) today issued its Fiscal Year…

CFTC Orders BGC Financial, L.P. to Pay $3 Million for Supervision, Reporting, and Recordkeeping Violations

(STL.News) – The U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling…

CFTC Charges Unregistered Commodity Pool Operator, Main & Prospect Capital, LLC, Two California Men with $2.3 Million Fraud

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission announced today that it filed a civil…

CFTC Orders Wells Fargo to Pay Over $14 Million for Violating Swap Dealer Business Conduct Standards

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission today issued an order filing and settling…

CFTC Orders Mitsubishi Corporation RtM Japan Ltd. to Pay $500,000 for Spoofing

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission today issued an order filing and settling…

U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network

(STL.News) – The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the…

CFTC Announces Agenda for 2nd Annual Fintech Forward Conference

(STL.News) – The U.S. Commodity Futures Trading Commission today announced the agenda for its second annual…

CFTC Charges Circle Society, Corp and its Owner, David Gilbert Saffron in $11 Million Cryptocurrency Fraud, Misappropriation Scheme

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission today announced the filing of a civil…

CFTC to Hold an Open Commission Meeting on October 16

Washington, DC (STL.News) U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC…

Federal Agencies Finalize Changes to Simplify Volcker Rule

Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation…

U.S. Commodity Futures Trading Commission Chairman Tarbert Announces New LabCFTC Director

Washington, DC (STL.News) – U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the…

CFTC Orders Morgan Stanley Capital Group Inc. to Pay $1.5 Million for Spoofing in the Precious Metals Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Chicago Trading Firm Belvedere Trading LLC to Pay $1.1 Million for Spoofing in the Financial Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Trading Firm Mitsubishi International Corporation to Pay $400,000 for Spoofing in the Precious Metals Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission today announced that civil enforcement actions…

CFTC Charges Former Registrant, Rafael Novales, with Making False, Misleading Statements During a CFTC Investigation

Washington, DC (STL.News) — The U.S. Commodity Futures Trading Commission Monday issued an order filing and…

CFTC Announces Approximately $7 Million Whistleblower Award

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission today announced it will award approximately…

CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting Violations

Washington, DC (STL.News) — The U.S. Commodity Futures Trading Commission announced today that an order filing…

CFTC Unanimously Approves Two Measures in September 16 Open Meeting

Washington, DC (STL.News) — At an open meeting Thursday, the U.S. Commodity Futures Trading Commission voted…

CFTC Charges John Lawrence, Heraeus Metals New York, LLC, with Spoofing in Precious Metals Futures

US Commodity Futures Trading Commission issued two orders Monday filing and settling charges against, John Lawrence…

Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission Tuesday issued an order filing and…

CFTC Orders Registrant, Phillip Capital, Inc to Pay $1.5 Million for Violations Related to Cyber Breach

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission Friday issued an order filing and…

Joint Statement of the CFTC and the European Commission Following Meeting on Cross-Border Derivatives Regulatory Issues

Washington, DC (STL.News) — The following statement is released following a meeting between Heath Tarbert, Chairman,…

CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing

Washington, DC (STL.News) —The U.S. Commodity Futures Trading Commission announced Friday that it is extending to…

CFTC Market Risk Advisory Committee Approves Plain English Disclosures at Public Meeting

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission’s Market Risk Advisory Committee (MRAC) approved…