The Commodity Futures Trading Commission filed a civil enforcement action in the U.S. District Court for the District of Nevada a...
CN Editor
August 08, 2022
SEC, CFTC SEEK PUBLIC COMMENT ON THE HARMONIZATION OF PORTFOLIO MARGINING FRAMEWORKS
DAY TRADER ADMITS SPOOFING
CFTC WRAPS CASE AGAINST CRYPTO CEO
SEC, CFTC SEEK PUBLIC INPUT ON DATA REPORTING FRAMEWORKS FOR SECURITY-BASED SWAP AND SWAP MARKETS
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
CIRO REGISTRATION - THE FIT AND PROPER TEST FOR APPROVED PERSONS