The CFTC issued Orders permitting the clearing activities of the Taiwan Futures Exchange and ICE NGX Canada.
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The CFTC issued an Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V., a Foreign Board of Trade located in Mexico City.
The CFTC granted exemptions to five foreign futures and options markets to allow their member firms to accept U.S. customer funds for margining futures and options contracts without registering as futures commission merchants with the CFTC.
The CFTC Division of Swap Dealer and Intermediary Oversight provided temporary exemptive relief to non-U.S. introducing brokers that temporarily fail to register with the CFTC.
A broker-dealer agreed to settle SEC charges for failing to properly handle "pre-released" American Depositary Receipts and for related supervisory failures.