The CFTC announced that civil enforcement actions were filed and simultaneously settled against two trading firms and one bank fo...
CN Editor
October 03, 2019
CFTC RELEASES ADVISORY ON SELF-CERTFICATION OF AN EVENT CONTRACT SERIES
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
CFTC SCUTTLES 24/7 FUTURES TRADING BID
CFTC CHARGES NORTH CAROLINA COMMODITY POOL OPERATOR AND HIS COMPANY WITH FRAUD
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS