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  • CFTC Chairman Calls for Increased Funding and Discusses Priorities During Congressional Testimony
  • CFTC Postpones OCR Roll-out; CME Group and ICE Futures U.S. Adopt Conforming Amendments
  • FINRA Sanctions Registered Broker-Dealer for Helping Unregistered Brokers; Tacks on AML Violations
  • Former Broker-Dealer CEO Agrees to Settle SEC Charges Related to Non-Disclosed Overcharges to Customers
  • Adviser Sanctioned for Placing Regulated Customer Funds With Brokers, Not Custodial Bank
  • Canadian Securities Regulators Seek Comment on Mandatory Swaps Clearing; Monetary Authority of Singapore Declines to Impose Swaps Trading Regime
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