A New York City-based company settled CFTC charges for offering off-exchange, event-based binary options contracts and for failing to obtain designation as a designated contract market or registration as a swap execution facility.
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A broker-dealer settled NYSE Arca, Inc. charges for executing options orders that contained inaccurate origin codes.
Cboe Europe B.V. notified the SEC Division of Trading and Markets that it intends to rely on the class no-action relief issued in July 2013 to engage in familiarization activities as to "Eligible Options" traded on its exchange with "Eligible Broker-Dealers / Eligible Institutions" in the United States.
The CFTC granted a request by Chicago Mercantile Exchange Clearing Europe Limited for registration as a derivatives clearing organization under the CEA.
The CFTC Division of Clearing and Risk granted exemptive relief to CME Clearing from certain written acknowledgements required for the purpose of accessing its liquidity facility.