NFA adopted supervisory requirements and technical amendments concerning swap activities.
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IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
Two Florida residents were ordered to pay restitution and penalties, and a New York resident was charged with violations, in relation to separate cases involving commodity pool fraud.
A FINRA hearing panel found that a broker-dealer intentionally misrepresented and omitted material information regarding sales of joint venture interests that constituted "securities."
Morgan Stanley Smith Barney LLC and Citigroup Global Markets, Inc. agreed to pay over $2.96 million each to settle SEC charges of misleading investors about a foreign exchange trading program.