The NFA adopted amendments to its Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
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The operator of a binary options trading firm agreed to settle CFTC charges for engaging in off-exchange options trading without being properly registered as a futures commission merchant.
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
Two interdealer brokers settled separate New York State and CFTC charges for fraudulent practices involving foreign exchange currency options.