The CFTC issued an order on November 6, 2019, approving the transfer of the trueEX LLC swap execution facility (SEF) registration...
CN Editor
November 08, 2019
SEC, CFTC SEEK PUBLIC COMMENT ON THE HARMONIZATION OF PORTFOLIO MARGINING FRAMEWORKS
CFTC WRAPS CASE AGAINST CRYPTO CEO
SEC, CFTC SEEK PUBLIC INPUT ON DATA REPORTING FRAMEWORKS FOR SECURITY-BASED SWAP AND SWAP MARKETS
SEC, CFTC SEEK PUBLIC COMMENT TO FURTHER CLARIFY AND HARMONIZE DERIVATIVES PRODUCT DEFINITIONS
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
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
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS