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This document outlines the proceedings initiated by the Commodity Futures Trading Commission against Mark A. Pennings and Clayton Caulkins for violations of the Commodity Exchange Act, detailing findings
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How to fill out ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c), 6(d) and 8a(4) OF THE COMMODITY EXCHANGE ACT, AS AMENDED, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS

01
Obtain the required form for the ORDER INSTITUTING PROCEEDINGS.
02
Read the Commodity Exchange Act sections 6(c), 6(d), and 8a(4) to understand the legal basis for the proceedings.
03
Prepare a clear introduction stating the purpose of the order.
04
Outline the findings that justify the proceeding, including any violations of the Commodity Exchange Act.
05
Include specific details of the parties involved and their actions that led to the order.
06
Clearly state the remedial sanctions being imposed, ensuring they align with the severity of the findings.
07
Ensure that all information is supported by evidence and is clearly articulated.
08
Review the order for compliance with legal standards and procedural requirements.
09
File the completed order with the appropriate regulatory authority.

Who needs ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c), 6(d) and 8a(4) OF THE COMMODITY EXCHANGE ACT, AS AMENDED, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

01
Individuals or entities involved in commodities trading that have violated provisions of the Commodity Exchange Act.
02
Regulatory bodies enforcing compliance within the commodities market.
03
Legal attorneys representing clients facing legal action under the Commodity Exchange Act.
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People Also Ask about

Under the CEA, it is unlawful to: Use any means of fraud or deceit in connection with the sale of commodities or futures contracts involving commodities; or. Manipulate the price of commodities or their futures contracts.
In general, violations of the CEA include, among other things: Fraud (for example, fraudulent solicitation, misappropriation of customer funds, issuing false customer account statements, mishandling customer funds, Ponzi schemes, affinity schemes)
The Commission interprets CEA section 4(c)(a)(5)(A) as prohibiting a person from buying a contract on a registered entity at a price that is higher than the lowest available price offered for such contract or selling a contract on a registered entity at a price that is lower than the highest available price bid for
The provisions of sections 8a(2)-8a(4) of the Commodity Exchange Act (“Act”) establish a system of statutory disqualifications pursuant to which the Commission may find an applicant or registrant unfit for registration and vest the Commission with wide discretion to deny, condition, suspend, restrict or revoke the
It shall be unlawful for any person to make any false or misleading statement of a material fact to the Commission, including in any registration application or any report filed with the Commission under this chapter, or any other information relating to a swap, or a contract of sale of a commodity, in interstate
The Act provides federal regulation of all commodities and futures trading activities and requires all futures and commodity options to be traded on organized exchanges.

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It is a formal document issued by regulatory authorities to initiate administrative proceedings against a person or entity accused of violating provisions of the Commodity Exchange Act, outlining the allegations, findings, and the enforcement actions to be taken.
Regulatory bodies such as the Commodity Futures Trading Commission (CFTC) are required to file this order when they determine that there is sufficient cause to initiate proceedings against a person or entity for violations of the Act.
The order must include specific sections detailing the allegations, findings of fact, legal conclusions, and proposed sanctions, following the format and guidelines set forth by the applicable regulatory authority.
The purpose is to formally accuse individuals or entities of violating the Commodity Exchange Act and to outline the necessary legal process to adjudicate those accusations, ensuring compliance and enforcing penalties if warranted.
The order must report the specific sections of the Commodity Exchange Act violated, the findings and evidence supporting those allegations, the identity of the respondents, and the proposed sanctions or remedial actions to be taken.
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