Michael Solinsky News Today

Commodity Futures Trading Commission (CFTC) ......   On Monday, July 3, the Commodity Futures Trading Commission (CFTC) announced that Judge Richard

Commodity Futures Trading Commission (CFTC) ......   On Wednesday, October 5, 2022, the Commodity Futures Trading Commission (CFTC) announced that it

<p><span>The Commodity Futures Trading Commission today announced that it filed a civil enforcement action in the U.S. District Court for the District of Delaware against a precious metals dealer, </span><span>Argent Asset Group LLC</span><span> (Argent), and a precious metals depository, </span><span>First State Depository Company, LLC</span><span> (FSD), both of Wilmington, Delaware, and th...

Washington, D.C.  — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against  tpSEF, Inc ., a registered swap execution facility (SEF), for failing to comply with the CFTC 15-second delay requirement for certain required transactions on a SEF order book.

<p><span>The Commodity Futures Trading Commission announced today that it issued an order suspending the registrations of Ted Brent Alexander of Jackson, Mississippi. The CFTC filed a Notice of Intent to Suspend or Modify registration under Section 8a(11) against Alexander on September 2, 2021. [See CFTC Press Release No. <a href="https://www.cftc.gov/PressRoom/PressReleases/8423-21">8423-21</a>]. The CFTC action is based on a...

<p><span>The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against </span><span>UBS AG, </span><span>a provisionally registered swap dealer, for failing to retain certain audio recordings for the time required under CFTC regulations. The order finds that as a result of failures in UBS’s audio retention systems, the firm deleted over 1,000 hours of audio data a...