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- CFTC Revises Aggregation Proposal Related to Position Limits
- SEC Sanctions Investment Adviser for Not Implementing Policies and Procedures in Advance of Cyber-Attack
- Former Investment Bank Financial Adviser Pleads Guilty to Illegally Accessing Confidential Client Information
- Tera Exchange Consents to Cease and Desist Order by CFTC for Encouraging Wash Sale, No Fine Assessed
- SEC Seeks to Enhance Liquidity Management by Mutual Funds and ETFs
- Déjà Vu All Over Again – CFTC Settles Complaint With Cargill de Mexico for Wash Sales Following Similar CME Group Settlement
- Introducing Broker and COO Agree to Pay US $500,000 to Resolve CFTC Charges of Recordkeeping Violations and Supervision Breakdown
- CTA Fined US $280,000 by CFTC for Not Disclosing Principal and Changes to Algorithmic Trading System