A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants and (ii) failing to effect the transactions on a registered national securities exchange.
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A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.
The U.S. Treasury Department released a report detailing plans to reduce burdens of capital markets regulation.
JP Morgan Securities LLC, a registered futures commission merchant and swap dealer, agreed to pay a civil monetary penalty to settle CFTC charges that it failed to maintain adequate systems for reconciling exchange and clearing fees for trading of Chicago Mercantile Exchange products.