An entity and its owner settled charges with the CFTC for failure to register as a commodity trading adviser in connection with the provision of trading signals for binary options transactions.
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The CFTC charged an individual and two affiliated CPOs with engaging in manipulation intended to trigger payouts on binary options.
A dual-registrant settled SEC charges for (i) failing to adequately train its financial advisers on a complex options strategy sold to clients, and (ii) failing to implement a reasonable supervisory system that would provide adequate oversight.
NFA announced the effective date of rule amendments designed to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.