The Commodity Futures Trading Commission’s Market Participants Division (MPD) announced it has issued a temporary no-action lette...
CN Editor
August 18, 2022
CFTC OBTAINS $2M RESTITUTION FOR VICTIMS OF PRECIOUS METALS, FOREIGN CURRENCY POOL FRAUD
FIRST-EVER LISTED SPOT CRYPTO TRADING ON U.S. REGULATED EXCHANGES
CFTC CHARGES TWO MEN, THEIR UNREGISTERED COMMODITY POOL WITH FUTURES FRAUD, REGISTRATION VIOLATIONS
CANADIAN SECURITIES REGULATORS PROPOSE SEMI-ANNUAL FINANCIAL REPORTING PILOT
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING