The Chicago Mercantile Exchange ("CME") Business Conduct Committee ("BCC") charged a broker-dealer with exceeding the spot month position limit in August 2018 Soybean Meal futures contracts.

An investment fund challenged an IRS determination that various contracts entered into between the fund and an investment bank resulted in the fund having effective ownership of the positions that were the subject of the contracts.

A publicly traded data services company and its former CEO settled SEC charges for financial accounting and disclosure fraud.

A broker-dealer that operates an alternative trading system for trading fixed income securities settled SEC charges for failing to protect subscribers' confidential information.

An Illinois-based trading entity settled CFTC charges for holding a position in soybean oil futures contracts that exceeded certain position limits.