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  • Broker-Dealer Sanctioned by SEC for Anti-Money Laundering Breakdowns
  • ESMA Seeks Comment on Distributed Ledger Technology
  • International Bank and Affiliates Settle Two CFTC Enforcement Actions for Alleged Benchmarks Manipulation
  • HK SFC Sanctions Broker for Effectuating Transactions for Korean Intermediary Without Ability to Know Ultimate Client Identities
  • Investment Adviser Settles With SEC for Acting as a Broker-Dealer Without Registration
  • Broker-Dealer Charged by FINRA for Failing to Protect Customer Assets; Other Broker-Dealers Sanctioned for Not Complying With Customer Confirmation and Best Execution Requirements
  • CME Group Settles With Non-Members for EFRP and Disruptive Trading Violations
  • Federal Appeals Court Says Defendant Must Wait Before Challenging SEC Administrative Process
  • CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Hedging Exemptions Related to Speculative Position Limits
  • IFUS and ICE Futures Europe Update Block Trade Guidance
  • Dan Roth, NFA Veteran, Current President and CEO, Announces Retirements
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