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  • SEC Considers New Rule to Restrict Use of Derivatives by Investment Companies
  • Energy Trading Firm Pays US $3.6 Million Fine to Resolve CFTC Charges of Attempted Manipulation of Index Settlement Price
  • French AMF Fines Exchange and Trader €5 Million Each for Alleged Disruptive Trading
  • Appellate Court Vacates Criminal Conviction of Mortgage-Backed Securities Trader Convicted of Lying to Customers
  • Brokerage Company Fined and Required by NFA to Withdraw FCM Registration for Inadequate Risk Management Program
  • Canadian Regulator Concludes No Issues With High Frequency Trading After Initially Saying Impact "Mostly Positive"
  • ICE Futures U.S. Sanctions Two FCMs for Misreporting Open Interest, and Another for Misreporting EFRPs
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