Tag / Cftc



ARM Fined $200K for Failing to Register as Swap Execution Facility

ARM Fined $200K for Failing to Register as Swap Execution Facility

Houston-based Asset Risk Management LLC (ARM) was charged with failing to register as a swap execution facility (SEF) and ordered by the Commodity Futures Trading Commission (CFTC) to pay a $200,000 penalty. ARM was ordered to cease and desist from any further violations of the Commodity Exchange Act (CEA) and regulations. “Failing to register as…

September 30, 2022

Former Natural Gas Trader’s Fraud Cost Commodities Firm $100M, Says CFTC

The Commodity Futures Trading Commission (CFTC) has charged a former natural gas head trader in Houston with fraudulently mismarking futures and physical trades in order to conceal losses that ultimately cost the commodities-trading company where he worked more than $100 million.

May 10, 2019

U.S. LNG Export Growth Could Expose Domestic Market to Higher Prices, Global Risk

The United States is poised to become one of the largest exporters of liquefied natural gas (LNG) in the next 20 years, sending out as much as 19 Bcf/d by some estimates, thanks to robust production in a post-shale era.

May 17, 2018

CFTC Extends $8B Swap De Minimis Threshold Through 2019

The $8 billion swap dealer de minimis threshold adopted by the Commodity Futures Trading Commission (CFTC) five years ago will remain in place until at least the end of 2019, following a CFTC vote Thursday.

October 26, 2017

CFTC to Delay De Minimis Decision Another Year, Giancarlo Says

Commodity Futures Trading Commission (CFTC) Chairman Christopher Giancarlo said Wednesday he will request the regulatory agency postpone a decision on the de minimis threshold by a year, effectively delaying implementation until the end of 2018.

October 11, 2017

CFTC Revising Swaps Rules to Fix ‘Flawed’ Regulatory Reform, Giancarlo Says

The U.S. Commodity Futures Trading Commission (CFTC) will pursue a reform of swaps trading rules “to fix flawed implementation of regulatory reform,” Chairman J. Christopher Giancarlo told a global forum for derivatives markets in Switzerland last week.

September 19, 2017

CFTC Crumbling; Bowen’s Resignation Will Leave One Commissioner

Sharon Bowen, who has been a member of the U.S. Commodity Futures Trading Commission (CFTC) since 2014 and whose term isn’t due to expire until June 2019, announced Tuesday that she will resign her position “within the next few months, or perhaps sooner if another nominee is confirmed.”

June 20, 2017

FERC Seeks 15.2% Increase, CFTC 12.6% in Trump’s FY2018 Budget; Dodd-Frank Revamped

Two federal regulatory agencies key to the natural gas and oil industry, FERC and the Commodity Futures Trading Commission (CFTC), are seeking double-digit percentage increases to their appropriations in the Trump administration’s $4.1 trillion budget proposal.

May 23, 2017

Trump to Nominate Former Fund Manager Brian Quintenz to CFTC

President Trump intends to nominate Brian Quintenz, a former head of a Washington-based investment firm, to be a commissioner of the Commodity Futures Trading Commission (CFTC) for the remainder of a five-year term expiring April 13, 2020, the White House said Friday.

May 16, 2017

Former CFTC Head Says Regulatory Streamlining Ahead: ‘Too Many Regulators’

Commodities and securities regulation under the Trump administration will be more open to market participants with less “gotcha stuff” to trip them up, speakers at a Houston conference heard last week.

April 10, 2017
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