News & Headlines | Cadwalader Cabinet

Skip to main content

Topics
Documents
Events
News
Tools
About
Sign in

Advanced Search

Use Citation

Not just data.
Information in context.

News & Headlines

Receive our daily newsletter

Email *

1 result

Search Narrowed by Text

Search Terms

Search Narrowed by Categories

Remove BOX Options Exchange LLC filter BOX Options Exchange LLC

date:

Date

From

Date

To

body of law:

Securities Apply Securities filter 1

issuing jurisdiction:

author organization:

Remove BOX Options Exchange LLC filter BOX Options Exchange LLC
SEC Apply SEC filter 1480
CFTC Apply CFTC filter 978
FINRA Apply FINRA filter 762
US Congress Apply US Congress filter 617
Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 442
Industry Associations Apply Industry Associations filter 336
FDIC Apply FDIC filter 307
Cadwalader Apply Cadwalader filter 302
Comptroller Apply Comptroller filter 296
MSRB Apply MSRB filter 225
NFA Apply NFA filter 182
OFAC Apply OFAC filter 177
CFPB Apply CFPB filter 160
NASAA Apply NASAA filter 160
SIFMA Apply SIFMA filter 155
ISDA Apply ISDA filter 141
Int. Organizations Apply Int. Organizations filter 140
DOJ Apply DOJ filter 93
IOSCO Apply IOSCO filter 92
Treasury Apply Treasury filter 88
FinCEN Apply FinCEN filter 84
US Courts Apply US Courts filter 80
President / White House Apply President / White House filter 75
SEC Exchanges and Clearing Corps. Apply SEC Exchanges and Clearing Corps. filter 74
US Government Research Entities Apply US Government Research Entities filter 59
CME Apply CME filter 52
Securities Future Exchanges Apply Securities Future Exchanges filter 52
FTC Apply FTC filter 50
Institute of International Bankers Apply Institute of International Bankers filter 43
New York Apply New York filter 43
US District Court Apply US District Court filter 42
NYDFS Apply NYDFS filter 41
Managed Funds Association Apply Managed Funds Association filter 39
News Orgs / Blogs* Apply News Orgs / Blogs* filter 33
OFR Apply OFR filter 29
IRS Apply IRS filter 28
FIA Apply FIA filter 27
FSOC Apply FSOC filter 26
US Court of Appeals Apply US Court of Appeals filter 25
Financial Conduct Authority Apply Financial Conduct Authority filter 24
Basel Apply Basel filter 23
Financial Stability Board Apply Financial Stability Board filter 23
GAO Apply GAO filter 23
ICI Apply ICI filter 20
Energy Metro Desk Apply Energy Metro Desk filter 19
DOL Apply DOL filter 18
FHFA Apply FHFA filter 18
ARRC Apply ARRC filter 17
FFIEC Apply FFIEC filter 17
NCUA Apply NCUA filter 17
Streetwise Prof. (C. Pirrong) Apply Streetwise Prof. (C. Pirrong) filter 14
FATF Apply FATF filter 13
European Commission Apply European Commission filter 12
Think Tanks Apply Think Tanks filter 10
US Federal Government Apply US Federal Government filter 10
US Supreme Court Apply US Supreme Court filter 10
Academics Apply Academics filter 9
BIS Apply BIS filter 9
PCAOB Apply PCAOB filter 9
SEC Clearing Agencies Apply SEC Clearing Agencies filter 9
Securities Traders Association Apply Securities Traders Association filter 9
AIMA Apply AIMA filter 8
Securities Exchanges Apply Securities Exchanges filter 8
Trade Associations Apply Trade Associations filter 8
American Bankers Assoc. Apply American Bankers Assoc. filter 7
CRS Apply CRS filter 7
Farm Credit Administration Apply Farm Credit Administration filter 7
Company Apply Company filter 6
DTCC Apply DTCC filter 6
Individuals Apply Individuals filter 6
US Chamber of Commerce Apply US Chamber of Commerce filter 6
Financial Information Forum Apply Financial Information Forum filter 5
European Banking Authority Apply European Banking Authority filter 4
NASDAQ Stock Market Apply NASDAQ Stock Market filter 4
2d Cir. Apply 2d Cir. filter 3
9th Cir. Apply 9th Cir. filter 3
CFIUS Apply CFIUS filter 3
D.C. Cir. Apply D.C. Cir. filter 3
European Central Bank Apply European Central Bank filter 3
Global Financial Markets Association Apply Global Financial Markets Association filter 3
Information Commissioner's Office Apply Information Commissioner's Office filter 3
NYSE Arca Apply NYSE Arca filter 3
States Apply States filter 3
US Securities SROs Apply US Securities SROs filter 3
7th Cir. Apply 7th Cir. filter 2
Bank of England Apply Bank of England filter 2
Global Foreign Exchange Committee Apply Global Foreign Exchange Committee filter 2
HM Treasury Apply HM Treasury filter 2
ICMA Apply ICMA filter 2
NYSE American Apply NYSE American filter 2
Options Clearing Corp. Apply Options Clearing Corp. filter 2
SIPC Apply SIPC filter 2
5th Cir. Apply 5th Cir. filter 1
10th Cir. Apply 10th Cir. filter 1
California Apply California filter 1
Cboe BYX Exchange Apply Cboe BYX Exchange filter 1
Cboe BZX Exchange Apply Cboe BZX Exchange filter 1
Cboe EDGA Exchange Apply Cboe EDGA Exchange filter 1
Cboe EDGX Exchange Apply Cboe EDGX Exchange filter 1
Coun. of Inst. Investors Apply Coun. of Inst. Investors filter 1
DEA Apply DEA filter 1
ICE Clear Europe Apply ICE Clear Europe filter 1
IMF Apply IMF filter 1
Law Firm Apply Law Firm filter 1
LSTA Apply LSTA filter 1
Miami International Securities Exchange LLC Apply Miami International Securities Exchange LLC filter 1
NASDAQ BX Apply NASDAQ BX filter 1
Nasdaq GEMX Apply Nasdaq GEMX filter 1
NASDAQ ISE Apply NASDAQ ISE filter 1
NASDAQ PHLX Apply NASDAQ PHLX filter 1
NYSE Apply NYSE filter 1
The Federal Register Apply The Federal Register filter 1
US Tax Court Apply US Tax Court filter 1

news type:

Enforcement News Apply Enforcement News filter 1

enforcement type:

federal register type:

book compilation:

regulatory status:

regulated activities:

Supervision / Compliance Apply Supervision / Compliance filter 1
Trading Apply Trading filter 1

regulated entities:

Broker-Dealers Apply Broker-Dealers filter 1

regulated products:

Equities Apply Equities filter 1
Options Apply Options filter 1

affected jurisdiction:

penalty amount (approximate):

disgorgement amount (approximate):

October 02, 2018

Broker-Dealer Settles Charges concerning Potentially Manipulative Trading

A broker-dealer agreed to settle charges brought by eight securities exchanges for failing to prohibit potentially manipulative trading.

Request delivery of the Cadwalader Cabinet Newsletter.

Email *

User menu

Attorney Advertising
Terms of Use
Privacy

2008-2019

Main menu

Topics
Documents
Events
News
Tools
About
Sign in
Account

Not just data. Information in context.

Receive our daily newsletter

Broker-Dealer Settles Charges concerning Potentially Manipulative Trading

Request delivery of the Cadwalader Cabinet Newsletter.

User menu

Not just data.
Information in context.