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(a) No futures commission merchant shall use, or permit the use of, the futures customer funds of one futures customer to purchase, margin, or settle the trades, contracts, or commodity options of, or to secure or extend the credit of, any person other than such futures customer.
Has the CTFC fined anyone?
The CFTC fined a commodities trader $55 million in its first-ever enforcement action under its seven-year-old rule prohibiting companies from impeding whistleblowers. Two CFTC commissioners disagreed with enforcing the whistleblower rule in this case.
What are the fines for the SEC and CFTC?
The SEC filed 583 penalties worth US$2.1 billion and the CFTC announced it had imposed fines worth US$2.6 billion. Combined with monetary relief obtained via disgorgement and restitution, including the finalised settlement for the FTX scandal, the combined total of enforcement actions stands at US$25.3 billion.
What is the largest whistleblower award in the CFTC?
Since making its first award in 2014, the CFTC has issued more than $400 million in CFTC whistleblower awards. The largest CFTC whistleblower awards to date are: $200 million CFTC whistleblower award (October 21, 2021);
Can the CFTC prosecute?
The mission of the Division of Enforcement (DOE) is to protect the public and preserve market integrity by detecting, investigating and prosecuting violations of the Commodity Exchange Act (CEA) and CFTC regulations.
Commission rates as low as $0.10 per side to high volume online futures traders requiring no broker assistance. See our commission and fees disclosure for further information. High volume traders can greatly reduce exchange fees by qualifying for an Exchange Membership.
What is the CFTC red flag rule?
The CFTCs red flags rule (17 C.F.R. 162) requires financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, thwart, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts.
Are futures regulated by CFTC?
Trading of futures on single securities and futures on narrow-based security indexes, collectively called security futures products or SFPs, is jointly regulated by the CFTC and the Securities and Exchange Commission (SEC).
Related links
Submit a Tip | CFTC
Individuals who submit a Form TCR will receive anti-retaliation protections if applicable, and may be eligible for monetary awards of up to 30% of the money
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