nistration at 41 CFR 101-35.201, an employee may make a personal long distance call charged to her personal calling card. Example 2: An employee of the Commodity Futures Trading Commission whose office computer gives him access to a commercial service providing information for investors may not use that service for personal investment

r a hydraulic fracking-related company based on misrepresentations. Read full article » CFTC Starts Insider Trading Task Force, Sues Energy Trader The Commodity Futures Trading Commission announced Friday that it has created an insider trading task force, the same day the agency accused a Houston-based energy commodities trader of us

es by $25 million. 2 documents attached I Read full article » CFTC Gets $2.9M Win Against No-Show Alleged Fraudster A Texas federal judge granted the Commodity Futures Trading Commission a $2.9 million final judgment on Friday against an alleged fraudster who never appeared in the case or responded to the agency's complaint. Order

it is an inctodual. IRA or a foundation and that It is not required to be a member 01 the National Futures Association rt,fAl or to be *capered with the Commodity Futures Trading Commission ("CFTC") n any rapacity. ilelmar comma on to Section A. fewest°, Acknowledgement) OR All Other Entity Investors The Invest°, (or, d the Investor

igation if, and to the extent that, such Swap Obligation is or becomes illegal under the Commodity Exchange Act or any rule, regulation or order of the Commodity Futures Trading Commission (or the application or official interpretation of any thereof) by virtue of such guarantor's failure for any reason to constitute an "eligible cont

Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of LIBOR and other benchmark interest rates. The Swiss Financial Market Supervisory A

s an individual, IRA or a foundation and that it is not required to be a member of the National Futures Association ("NFA") or to be registered with the Commodity Futures Trading Commission ("CFTC") in any capacity. (Please continue an to Section J. Investor Acknowledgement) OR All Other entity Investors: The Investor (or, if the Inv

t is an individual. IRA or a foundation and that it is not required to be a member of the National Futures Association ("NM, a to be registered with the Commodity Futures Trading Commission ("CFTC-) in any capacity. (Please continue on to Section J. Investor Acknowledgement) OR All Other Entity Investors: The Investor (or, if the Inv

harges that are currently pending. EFTA00286437 For "yes" answers to the following questions. complete a Regulatory Action DRP: C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: YES NO (1) found you or any advisory affiliate to have made a false statement or omission? r (2) found you or any advisory affiliate

f governmental agencies, including without limitation the U.S. Securities & Exchange Commission, the Financial Industry Regulatory Authority, Inc., the Commodity Futures Trading Commission, and all other applicable self- regulatory organizations, in connection with the Senior Adviser's relationship with the Company. It is understood th

ject: New Dodd-Frank requirements: recorded phone lines Date: Mon, 01 Apr 2013 15:04:58 +0000 As a result of the Dodd-Frank Wall Street Reform Act, the Commodity Futures Trading Commission issued Recordkeeping Rules for Swaps. The rules require Swap Dealers to keep records of pre-execution trade information, including records of certa

reform law that imposes new controls on financial activity but leaves it to regulatory agencies, such as the Securities and Exchange Commission and the Commodity Futures Trading Commission, to fill in the details. While those agencies have made some progress, like requiring derivative trades to be more transparently traded and reporte

11.8.(2) to charges that are currently pending. For "yes" answers to the following questions, complete a Regulatory Action DRP: C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission? (2) found you or any advisory affiliate to have be

11.11(2) to charges that are currently pending. For "yes" answers to the followinq questions, complete a Requlatory Action DRP: C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission? (2) found you or any advisory affiliate to have be

hat comprehensively regulate the OTC derivatives markets for the first time. Key provisions of the Dodd-Frank Act require rulemaking by the SEC and the Commodity Futures Trading Commission (CFTC"), not all of which has been proposed or finalized as at the date of this Memorandum. As a result, investors should expect future changes in

vative products and derivative market participants that. takes the form of amendments to the Commodity Exchange Act ("CEA, and new rules enacted by the Commodity Futures Trading Commission ("CYTC").with respect to "swaps" (a term that is, defined, vet), broadly•in the CEA). As a result of these new laws and rules, Deutsche Bank AG ("DB

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M

hat comprehensively regulate the OTC derivatives markets for the first time. Key provisions of the Dodd-Frank Act require rulemaking by the SEC and the Commodity Futures Trading Commission (CFTC"), not all of which has been proposed or finalized as at the date of this Memorandum. As a result, investors should expect future changes in

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M

tment Advisers Act of 1940; (xi), a commodity trading advisor subject to regulation under the Commodity Exchange Act; or (xii) any other person that the Commodity Futures Trading Commission has determined to be eligible in light of the financial or other qualifications of the person. B. The undersigned agrees to promptly advise J.P. M