A publicly traded company settled SEC charges for failing to disclose the nature of its reported profit growth and worsening business trends.
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21984 News Results
A broker-dealer settled NYSE charges for numerous trading violations.
The CFTC approved a number of amendments to its Designated Contract Markets rules to include electronic trading risk principles.
The CFTC Division of Clearing and Risk and the Division of Market Oversight granted no-action relief to LCH Limited from the trade execution requirement for certain transactions entered into under established default rules and procedures.
NFA reminded registrants that the upcoming Swaps Proficiency Requirements deadline is January 31, 2021.