In a new report, the Congressional Research Service summarized two companion bills (one in the House and one in the Senate) that would prohibit financial intermediaries and issuers from mandating the use of arbitration to resolve disputes.
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A U.S. District Court ruled in favor of the Board of Trade of the City of Chicago, Inc. and Chicago Mercantile Exchange, Inc. from allegations that they conspired to stop the CFTC from approving the application of a competing exchange.
In a motion filed with the SEC, NYSE and Nasdaq requested the recusal of Division of Trading and Markets Director Brett Redfearn from a review of a dispute regarding market data fee increases.
The U.S. Court of Appeals for the Seventh Circuit upheld an SEC determination that the agency did not have jurisdiction to adjudicate certain claims brought by securities firms against several securities exchanges.