A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.
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The CFTC charged an individual and two affiliated CPOs with engaging in manipulation intended to trigger payouts on binary options.
FINRA provided guidance on supervising options trading account approvals and monitoring account activity.
A brokerage firm settled charges with NYSE American LLC for failing to execute an options trade at the best available price.
A broker-dealer settled FINRA charges for misreporting the covered quantity of OTC short positions to the Large Options Position Report.