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This document outlines the Commodity Futures Trading Commission's order regarding violations of the Commodity Exchange Act by TradeWins Publishing Corp. and Stephen A. Schmidt, detailing fraudulent

How to fill out order instituting proceedings pursuant

How to fill out ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS

1. Begin with the title 'ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT'.
2. Include the date of the order at the top of the document.
3. Specify the parties involved in the proceedings, including the respondent(s) and any relevant regulatory entities.
4. Clearly state the legal basis for the proceedings, referencing Sections 6(c) and 6(d) of the Commodity Exchange Act.
5. Outline the findings of facts that support the initiation of the proceedings. Each fact should be presented clearly and concisely.
6. Enumerate any rules or regulations that have been allegedly violated by the respondent(s).
7. Specify the proposed remedial sanctions that will be imposed if the findings are upheld.
8. Include a section for the respondents to submit an answer or response to the order.
9. Provide instructions regarding any deadlines for responses and hearings.
10. Finish with the signature of the authorized official, along with their title and the date of signing.

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

1. Individuals or entities who are alleged to have violated provisions of the Commodity Exchange Act.
2. Regulatory bodies seeking to enforce compliance and impose sanctions on violators.
3. Legal representatives of parties involved in commodity trading disputes.
4. Financial institutions needing clarification or resolution in disputes related to commodities.

People Also Ask about

What does the Commodity Exchange Act do?

The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States. Passed in 1936, it has been amended several times since then. The CEA establishes the statutory framework under which the CFTC operates.

Is a CFTC enforcement action a criminal action?

Enforcement Actions - If the CFTC finds that a violation has occurred, it may bring an enforcement action against the individual or company involved. Enforcement actions can be either civil or criminal in nature.

What is the CFTC red flag rule?

The CFTC's “red flags” rule (17 C.F.R. §162) requires financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, thwart, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts.

What are the violations of the Commodity Exchange Act?

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)

What is the division of enforcement?

The mission of the Division of Enforcement (DOE) is to protect the public and preserve market integrity by detecting, investigating and prosecuting violations of the Commodity Exchange Act (CEA) and CFTC regulations.

What are the violations of the Commodity Exchange Act?

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.

What is Section 4c A of the Commodity Exchange Act?

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

For pdfFiller’s FAQs

What is ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

It is a legal document issued by regulatory authorities that initiates proceedings against individuals or entities for violations of the Commodity Exchange Act. The order outlines the findings of the investigation and imposes sanctions to address the violations.

Who is required to file ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

Regulatory authorities, such as the Commodity Futures Trading Commission (CFTC), are required to file this order when they find sufficient evidence of violations that warrant formal proceedings.

How to fill out ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

To fill out the order, one must provide detailed findings of the investigation, the specific violations, the evidence supporting those findings, and the proposed sanctions. The document should also include relevant legal citations and signatures from authorized officials.

What is the purpose of ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

The purpose is to formally initiate enforcement actions against violators of the Commodity Exchange Act and to ensure accountability by imposing appropriate remedial sanctions.

What information must be reported on ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(c) AND 6(d) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS?

Information that must be reported includes the identities of the parties involved, a description of the violations, the findings of fact, the supporting evidence, and the specific sanctions being proposed.