17 C.F.R. § 1.1
[Reserved]
Notes of Decisions
Cited in 33
cases (4 in the last 5 years), 1977–2024 · leading case: Commodity Futures Trading Comm'n v. White Pine Trust Corp., 574 F.3d 1219 (9th Cir. 2009).
Commodity Futures Trading Comm'n v. White Pine Trust Corp., 574 F.3d 1219 (9th Cir. 2009). “§ 6c(b) and 17 C.F.R. §§ 1.1 , 32.9(a) and (c), and one count of offer and sale of illegal off-exchange options contracts in violation of 7 U.”
Commodity Futures Trading Comm'n v. Sterling Trading Grp., Inc., 605 F. Supp. 2d 1245 (S.D. Fla. 2009). “§ 6b(a)(i) and (iii) (Section 4b(a)(2)(i) and (iii) of the Act) and 17 C.F.R. § 1.1 (b)(1) and (3). *1271 In Count Two, the Complaint alleges that Defendants Sterling, Universal, Arsenault and Stern violated 7 U.”
Commodity Futures Trading Comm'n v. Brockbank, 316 F. App'x 707 (10th Cir. 2008). “The CFTC is an independent federal agency charged with the administration and enforcement of the CEA and its implementing regulations, 17 C.F.R. §§ 1.1 to 190.10. The CFTC filed this civil action in 2000 against Mr.”
United States Commodity Futures Trading Comm'n v. Kratville, 796 F.3d 873 (8th Cir. 2015). “, and its implementing regulations, 17 C.F.R. §§ 1.1 et seq. The district court 1 granted summary judgment in favor of the CFTC against Kratville.”
United States Commodity Futures Trading Comm'n v. Wilson, 27 F. Supp. 3d 517 (S.D.N.Y. 2014). “, and the regulations promulgated thereunder, 17 C.F.R. §§ 1.1 et seq. DRW is an Illinois limited liability corporation with its principal place of business in Chicago, Illinois.”
Krause v. Forex Exch. Mkt., Inc., 356 F. Supp. 2d 332 (S.D.N.Y. 2005). “Alleged violation by Prevoo, the Lees, FXEM, Q-Tech, BMG and FXS of Section 4b of the CEA 16 and 17 C.F.R. § 1.1 (b). . • Count XVI. Control person liability against FXCM, FXS, Plaut and Cort-wright pursuant to Section 13(b) of the CEA 17 on the theory that these defendants are…”
Commodity Futures Trading Comm'n v. Trade Exch. Network Ltd., 159 F. Supp. 3d 5 (D.D.C. 2015). “(2002), and the Commission’s Regulations, 17 C.F.R. §§ 1.1 et seq. (2004). Compl. 1.”
U.S. Commodity Futures Trading Comm'n v. Parnon Energy Inc., 875 F. Supp. 2d 233 (S.D.N.Y. 2012). “, and promulgating and enforcing regulations thereunder, 17 C.F.R. §§ 1.1 . et seq. (Compl. ¶ 9.) Parnon is a corporation organized under the laws of Texas, with its principal place of business in Rancho Santa Fe, California.”
Commodity Futures Trading Comm'n, Cross v. Anthony Vartuli, Defendant-Appellant-Cross-Appellee, Avco Fin. Corp., J. Michael Gent, 228 F.3d 94 (2d Cir. 2000). “(the “CEA”), and the regulations promulgated thereunder, 17 C.F.R. §§ 1.1 et seq., brought a civil enforcement action in the United States District Court for the Southern District of New York against defendants AVCO Financial Corp.”
U.S. Commodity Futures Trading Comm'n v. Arrington, 998 F. Supp. 2d 847 (D. Neb. 2014). “, and its implementing regulations, 17 C.F.R. § 1.1 et seq. 2. The facts below are admitted by the parties, or are stated in the briefs and supported by pinpoint citations to admissible evidence in the record and not properly resisted as required by NECivR 56.”
Commodity Futures Trading Comm'n v. Rosenberg, 85 F. Supp. 2d 424 (D.N.J. 2000). “Rosenberg (“Rosenberg”) for his alleged violations of the CEA, and the regulations which have been promulgated to enforce it, 17 C.F.R. §§ 1.1 et seq. (1999). Simply stated, the CFTC alleges that Rosenberg offered to introduce James Stollenwerck (“Stollen-werck”) to a registered…”
Taucher v. Born, 53 F. Supp. 2d 464 (D.D.C. 1999). “, and the regulations promulgated thereunder, 17 C.F.R. 1.1 et seq. Also named as defendants in their official capacities are the CFTC’s chairperson, Brooksley E.”
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