Securities markets from Commodity Futures Trading Commission, press releases
13 articles on securities markets from Commodity Futures Trading Commission, press releases, each in English.
Articles13held by EMRules
With key requirements7of 13 articles
With affected entities12of 13 articles
With penalties3of 13 articles
Document types
Press release
7
Enforcement action
2
Other
2
Guideline
1
Regulation
1
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CFTC Sanctions Eight Individuals for Acting as Unregistered Associated Persons of Foreign Introducing Brokers
Enforcement action
CFTC Staff Addresses Use of Trust Companies for Daily Settlements
Press release
CFTC Issues Impartial Access Requirements Interpretation
Other
CFTC Secures Court Order Directing Texas Man and His Company to Pay Over $13 Million in Commodities Fraud
Enforcement action
CFTC Issues Interim Final Rule Excluding Certain Activity from the Definition of Swap
Regulation
CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning the Inclusion of Certain Event Contracts in the Definition of Swap
Press release
CFTC Issues No-Action Letter for DCMs Regarding Converting Existing Perpetual-Style Broad-Based Security Index Futures into True Perpetual Futures
Other
CFTC Staff Extends Brexit-Related No-Action Positions
Press release
CFTC Releases Staff Advisory on Mention Markets
Guideline
CFTC Staff Issues No-Action Position to Providers of Passive Software
Press release
CFTC Approves Final Rule Concerning Whistleblower Awards
Press release
CFTC Secures Court Orders Directing Texas and Florida Residents to Pay Over $500,000 in Disgorgement and Civil Monetary Penalties and Imposing Trading Bans for Commodity Pool Fraud
Press release
CFTC Issues Final Rule to Modify Clearing Requirement for Canadian Dollar- and Mexican Peso-Denominated Interest Rate Swaps
Press release
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