• Today, the CFTC issued an Order of Reinstatement to TeraExchange, LLC, restoring its registration status as a Swap Execution Facility. Read more here: Link
    CFTC Mon 31 Aug 2020 16:56

    Washington, D.C. — The Commodity Futures Trading Commission has issued an Order of Reinstatement to TeraExchange, LLC restoring its registration status as a Swap Execution Facility (SEF). The order, effective today, was issued in accordance with Section 5 of the Commodity Exchange Act and CFTC Regulations 37.3(b) and 37.3(d).

    TeraExchange, which originally obtained its SEF registration from the CFTC in 2016, is a Delaware corporation and a wholly-owned subsidiary of Tera Group, Inc. In July 2019, the CFTC deemed the exchange dormant under Part 40 of CFTC regulations because it had no trading for 36 consecutive months since its original Commission order of registration.

    SEFs are trading facilities that operate under the CFTC’s regulatory oversight for trading and processing swaps. The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 authorized the creation of SEFs to provide greater pre-trade and post-trade transparency to the swaps market.

    ...
  • Some sales pitches for gold and other precious metals predict economic instability and use graphs of past performance to “prove” precious metals are a safe bet. Past performance is not a good predictor of future returns for precious metals. Learn more: Link https://t.co/RlkJHyjXhF
    CFTC Mon 31 Aug 2020 13:06

    Maybe you’ve seen the commercials on TV, videos on the Internet, or received something in the mail. They predict economic instability and use graphs of past performance to “prove” gold, silver, or some other precious metal is not only your safest bet but is destined to double or triple in value.

    The truth is gold and other precious metals are highly volatile and past performance is not a good predictor of future returns. If sales pitches also include a lot of doom-and-gloom or high-pressure sales tactics, they could be setting you up for fraud.

  • .@robinsonmatt with @business took an in-depth look at how #CFTC’s Enforcement Division is leveraging data and top industry talent to root out misconduct like spoofing and wash trades. Read it here: Link
    CFTC Fri 28 Aug 2020 16:23
  • 1 week, 7 days, 168 hours. That’s all the time you have to complete your submission to enter LabCFTC’s Project Streetlamp competition. Everything you need to know is at Link. Visit today.
    CFTC Fri 28 Aug 2020 15:58

    The mission of the Commodity Futures Trading Commission’s (“CFTC”) is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. As part of this mission, the CFTC regulates a variety of individuals and organizations. These include futures commission merchants, commodity pool operators, commodity trading advisors, retail foreign exchange dealers, introducing brokers, designated contract markets, foreign boards of trade, swap dealers, and other entities and individuals. To promote market integrity, the CFTC surveils the derivatives markets for various abuses, and holds wrongdoers accountable.

    Increasingly, fraudsters use a variety of social engineering, fake profiling, and manipulative techniques to ensnare their victims. Fraud tactics regularly employ common keywords and phrases. With this information, there is an opportunity to utilize modern technology as a tool to augment traditional, manual efforts and to identify bad...

  • Wall Street Cop Amps Up Sleuthing to Ferret Out Spoofing Trades via @business @robinsonmatt. Read here: Link
    CFTC Thu 27 Aug 2020 15:47
  • Coming up Sept 24, our first of a 3-part series. We will cover—The Power of Innovation: Where Tech & Crisis Collide. Register today: Link. #LabCFTC https://t.co/vy1JYqdpbe
    CFTC Thu 27 Aug 2020 14:17

    Empower Innovation 2020, a three-part series of interactive virtual events designed to facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation.

    CFTC will host each of these events virtually, using the Whova event management platform. Attendees are encouraged to register to engage as part of this virtual experience with speakers and panelists, including live polling, surveys, and Q&A during sessions. CFTC will also provide a view-only, webcast on the day of the event for attendees who would like to listen in on session discussions of the day.

  • Show us what you’ve got. Help strengthen our markets by entering to win LabCFTC’s Project Streetlamp contest. The competition seeks tools that can detect foreign entities that should be—but are not—registered with the CFTC. Read more: Link
    CFTC Wed 26 Aug 2020 14:41

    The mission of the Commodity Futures Trading Commission’s (“CFTC”) is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. As part of this mission, the CFTC regulates a variety of individuals and organizations. These include futures commission merchants, commodity pool operators, commodity trading advisors, retail foreign exchange dealers, introducing brokers, designated contract markets, foreign boards of trade, swap dealers, and other entities and individuals. To promote market integrity, the CFTC surveils the derivatives markets for various abuses, and holds wrongdoers accountable.

    Increasingly, fraudsters use a variety of social engineering, fake profiling, and manipulative techniques to ensnare their victims. Fraud tactics regularly employ common keywords and phrases. With this information, there is an opportunity to utilize modern technology as a tool to augment traditional, manual efforts and to identify bad...

  • CFTC leaders have prioritized improving the agency’s data analytics capabilities. Read more on how the Enforcement Division is expanding its efforts to root out misconduct and hold wrongdoers accountable. @business @robinsonmatt Link
    CFTC Wed 26 Aug 2020 14:21
  • .@ChairmanHeath: "Wrongdoers now have increasingly fewer ways to conceal their misconducts.” Read more on #CFTC’s newly enhanced data analytics capabilities via @business @robinsonmatt: Link
    CFTC Tue 25 Aug 2020 16:45
  • We look forward to hosting you at #EmpowerInnovation2020. Register today to attend our three #fintech #innovation events on Sept 24, Oct 21, and Nov 17! Link
    CFTC Tue 25 Aug 2020 13:44

    Empower Innovation 2020, a three-part series of interactive virtual events designed to facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation.

    CFTC will host each of these events virtually, using the Whova event management platform. Attendees are encouraged to register to engage as part of this virtual experience with speakers and panelists, including live polling, surveys, and Q&A during sessions. CFTC will also provide a view-only, webcast on the day of the event for attendees who would like to listen in on session discussions of the day.

  • GOOD READ via @business @robinsonmatt on how the #CFTC is utilizing newly enhanced data analytics capabilities to rapidly analyze trades and detect suspicious activity. Link
    CFTC Mon 24 Aug 2020 19:29
  • Are you trading with foreign entities? Check out our redesigned RED List and see if those companies are what they claim. We added 22 unregistered names just today. Run a search here: Link. #REDList https://t.co/9VpibXpuPn
    CFTC Mon 24 Aug 2020 18:24

    The Registration Deficient List, also called the RED List, contains names of foreign entities that appear to be acting in a capacity that requires registration with the CFTC, but they are NOT registered with the CFTC.

    The inclusion of an entity’s name on the RED List does not mean that the CFTC or a court has concluded that a violation of any provision of the Commodity Exchange Act or the Commission’s Regulations has occurred. However, you should be cautious of unregistered firms or individuals when participating in products or markets that historically have seen a large number of fraud complaints — these include binary options, forex, digital currencies, commodity pools, and precious metals.

    Check the list before you trade.

     

  • Commodity trading systems are computer programs that signal when to buy and sell commodity futures and options contracts. Signals are not based on fundamental analyses of economic factors, like supply and demand. Find out what signals they are based on: Link https://t.co/NQp5Z0aTNw
    CFTC Mon 24 Aug 2020 13:48
    Computer programs that signal when to buy and sell commodity futures and options contracts Signals are based on mathematical formulas and are typically technical analyses of trading data, such as trading volume and prices Signals are not based upon fundamental analyses of economic factors, such as supply and demand Technical analysis attempts to predict future price movements based on historical prices, price relationships and price trends
  • Commodity trading systems are computer programs that signal when to buy and sell commodity futures and options contracts. Signals are not based on fundamental analyses of economic factors, like supply and demand. Find out what signals they are based on: Link
    CFTC Mon 24 Aug 2020 13:43
    Computer programs that signal when to buy and sell commodity futures and options contracts Signals are based on mathematical formulas and are typically technical analyses of trading data, such as trading volume and prices Signals are not based upon fundamental analyses of economic factors, such as supply and demand Technical analysis attempts to predict future price movements based on historical prices, price relationships and price trends
  • The RED List provides information to U.S. customers about unregistered foreign entities acting in a capacity that requires registration with the CFTC. Check the list before deciding to trade with or through such an entity: Link. https://t.co/xaOHKYy2EY
    CFTC Fri 07 Aug 2020 16:45

    The Registration Deficient List, also called the RED List, contains names of foreign entities that appear to be acting in a capacity that requires registration with the CFTC, but they are NOT registered with the CFTC.

    The inclusion of an entity’s name on the RED List does not mean that the CFTC or a court has concluded that a violation of any provision of the Commodity Exchange Act or the Commission’s Regulations has occurred. However, you should be cautious of unregistered firms or individuals when participating in products or markets that historically have seen a large number of fraud complaints — these include binary options, forex, digital currencies, commodity pools, and precious metals.

    Check the list before you trade.

     

  • Help showcase the power of new technology like AI. CFTC’s Project Streetlamp contest asks innovators to develop technology to help the CFTC automate locating unregistered foreign entities potentially engaging in illegal activity. Read more: Link. https://t.co/bM4SYGSZ0u
    CFTC Fri 07 Aug 2020 16:05

    The mission of the Commodity Futures Trading Commission’s (“CFTC”) is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. As part of this mission, the CFTC regulates a variety of individuals and organizations. These include futures commission merchants, commodity pool operators, commodity trading advisors, retail foreign exchange dealers, introducing brokers, designated contract markets, foreign boards of trade, swap dealers, and other entities and individuals. To promote market integrity, the CFTC surveils the derivatives markets for various abuses, and holds wrongdoers accountable.

    Increasingly, fraudsters use a variety of social engineering, fake profiling, and manipulative techniques to ensnare their victims. Fraud tactics regularly employ common keywords and phrases. With this information, there is an opportunity to utilize modern technology as a tool to augment traditional, manual efforts and to identify bad...

  • #Gold and #silver dealers might call themselves “IRA experts,” but in many cases they are not licensed to provide investment or trading advice to you. Link
    CFTC Fri 07 Aug 2020 13:45

    The Commodity Futures Trading Commission advises the public not to take cash from their retirement plans under relaxed distribution rules provided in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) to speculate or invest in gold, silver, or other precious metals without first consulting licensed or registered financial, tax, or legal advisors.

  • LabCFTC will host #EmpowerInnovation2020 to discuss fintech innovation. Mark your calendars and plan to join the conversation! The first virtual event will be held on September 24. Find additional dates at Link #Fintech https://t.co/g1sHDKYGiZ
    CFTC Thu 06 Aug 2020 14:34

    Washington, D.C. — The Commodity Futures Trading Commission today announced that LabCFTC will present Empower Innovation 2020, a series of interactive virtual events throughout the fall. The three-part series will facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation. In light of the COVID-19 (coronavirus) pandemic, the Empower Innovation 2020 series will be held in lieu of the 2020 Fintech Forward conference.

    LabCFTC will also announce the winner of Project Streetlamp, the competition LabCFTC launched in April under the Science Prize Competition Act, at the November Empower Innovation 2020 event. [See CFTC Press Release No. 8154-20]

    “Encouraging innovation and enhancing the regulatory experience for market participants is essential to what we do at the CFTC,” said CFTC Chairman Heath P. Tarbert. “As our markets adapt in the wake of COVID-19, so too must we innovate and adapt. I am...

  • Most #gold dealers charge commissions of between 40 and 200 percent above the spot (or cash) price for collectible coins. But if you need to sell the coins back, they typically pay a fraction of the sales price. #LearnAndProtect at Link
    CFTC Thu 06 Aug 2020 13:09

    The Commodity Futures Trading Commission advises the public not to take cash from their retirement plans under relaxed distribution rules provided in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) to speculate or invest in gold, silver, or other precious metals without first consulting licensed or registered financial, tax, or legal advisors.

  • When Lowell first heard of binary options he was seeking a little more security. All it cost to start was a few hundred dollars. By the time he realized he was involved in fraud, he had lost more than $60,000. Read his full story here: Link https://t.co/WkVgzBhE8y
    CFTC Wed 05 Aug 2020 16:38

    Lowell Enlow was a contractor for NASA and later operated several insurance agencies throughout Florida. Nick Morrison is a store manager in Central Illinois. Despite their years of investing and financial experience, both men were victims of a sophisticated online fraud.

    They thought they were investing in a highly liquid options market that offered quick returns with a low cost of entry. Instead, they were lured into an unregistered binary options trading platform run by an off-shore operation. They’re sharing their stories so you can see just how difficult it can be to recognize binary options fraud, when it’s happening right before your eyes.

    Traders use binary options to hedge against unforeseen circumstances, such as weather events. Unlike other options, there are no strike prices and traders don’t get the choice to exercise the option. Instead, they take a position on a specific market event to occur at a specific time. If the event happens as predicted,...

  • It pays to seek registered advisors when considering #gold or #silver for your retirement portfolio. One customer complained that a dealer charged nearly half her savings—$150k—in commissions and hidden fees to open a #goldIRA. #LearnAndProtect at Link
    CFTC Wed 05 Aug 2020 13:58

    The Commodity Futures Trading Commission advises the public not to take cash from their retirement plans under relaxed distribution rules provided in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) to speculate or invest in gold, silver, or other precious metals without first consulting licensed or registered financial, tax, or legal advisors.

  • ENFORCEMENT NEWS: NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information Link
    CFTC Tue 04 Aug 2020 20:42

    Washington, D.C. — The Commodity Futures Trading Commission today announced that the Honorable Vernon S. Broderick of the U.S. District Court for the Southern District of New York entered a consent order resolving CFTC charges against the New York Mercantile Exchange (NYMEX) and former employees William Byrnes and Christopher Curtin for the employees’ repeated disclosure of material non-public information in violation of the Commodity Exchange Act (CEA) and CFTC regulations.

    The order finds Byrnes and Curtin directly liable for their improper disclosures and NYMEX vicariously liable for the misconduct of its former employees. In addition, Byrnes and Curtin are permanently banned from trading commodity interests and registering with the CFTC and are enjoined from future violations of the CEA and CFTC regulations, as charged. The order also enjoins NYMEX to the extent the CEA and CFTC regulations apply under the vicarious liability provision of the CEA. In addition, the...

  • Attention, innovators! You have just 1 month to enter LabCFTC’s Project Streetlamp contest. Deadline is Sept. 4. Make your mark! Submit your ideas on how AI and other tech can shed sunlight on unregistered foreign entities acting as official registrants: Link. https://t.co/b6jdihr8lH
    CFTC Tue 04 Aug 2020 20:32

    The mission of the Commodity Futures Trading Commission’s (“CFTC”) is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. As part of this mission, the CFTC regulates a variety of individuals and organizations. These include futures commission merchants, commodity pool operators, commodity trading advisors, retail foreign exchange dealers, introducing brokers, designated contract markets, foreign boards of trade, swap dealers, and other entities and individuals. To promote market integrity, the CFTC surveils the derivatives markets for various abuses, and holds wrongdoers accountable.

    Increasingly, fraudsters use a variety of social engineering, fake profiling, and manipulative techniques to ensnare their victims. Fraud tactics regularly employ common keywords and phrases. With this information, there is an opportunity to utilize modern technology as a tool to augment traditional, manual efforts and to identify bad...

  • Mark your calendars for #EmpowerInnovation2020. This #fintech virtual series will help set the stage for what to expect in 2021. Learn more: Link. #LabCFTC #CFTC
    CFTC Tue 04 Aug 2020 19:37

    Washington, D.C. — The Commodity Futures Trading Commission today announced that LabCFTC will present Empower Innovation 2020, a series of interactive virtual events throughout the fall. The three-part series will facilitate a dialogue among innovators, regulators, market participants, and the public around cutting-edge fintech innovation. In light of the COVID-19 (coronavirus) pandemic, the Empower Innovation 2020 series will be held in lieu of the 2020 Fintech Forward conference.

    LabCFTC will also announce the winner of Project Streetlamp, the competition LabCFTC launched in April under the Science Prize Competition Act, at the November Empower Innovation 2020 event. [See CFTC Press Release No. 8154-20]

    “Encouraging innovation and enhancing the regulatory experience for market participants is essential to what we do at the CFTC,” said CFTC Chairman Heath P. Tarbert. “As our markets adapt in the wake of COVID-19, so too must we innovate and adapt. I am...

  • The CFTC recommends against taking cash from your retirement plan under relaxed rules provided in the CARES Act to speculate or invest in #gold, #silver or other precious metals without first consulting a licensed or registered advisor. Learn more at Link
    CFTC Tue 04 Aug 2020 14:07

    The Commodity Futures Trading Commission advises the public not to take cash from their retirement plans under relaxed distribution rules provided in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) to speculate or invest in gold, silver, or other precious metals without first consulting licensed or registered financial, tax, or legal advisors.

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