The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against tpSEF, Inc., a regist...
CN Editor
September 30, 2022
CFTC CHARGES FORMER ENERGY BROKER WITH PAYING BROKERAGE KICKBACKS AND MISAPPROPRIATING NONPUBLIC INFORMATION
CFTC APPROVES A PROPOSED RULE AND A PROPOSED ORDER AND REQUEST FOR COMMENT
INTER-AGENCY WORKING GROUP RELEASES NEW REPORT ON TREASURY MARKET RESILIENCE EFFORTS
CFTC PENALIZES AND PERMANENTLY BANS TEXAN FROM TRADING AND REGISTRATION FOR VIRTUAL CURRENCIES FRAUD
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IIROC BANS, FINES FORMER ADVISOR $1 MILLION
IIROC FINES CANACCORD GENUITY CORP.
NEW GOVERNANCE STRUCTURE TAKES EFFECT AT OSC
MUJAHID ALI SYED AND SANJIV KATYAL CHARGED WITH SECURITIES FRAUD TARGETING MEMBERS OF THE PAKISTANI-CANADIAN COMMUNITY