Broker-Dealer Settles SEC and NYS Charges Regarding Disclosures of Dark Pool Order Routing Arrangements: Deutsche Bank Securities Inc. settled charges brought by both the Securities and Exchange Commission and the New York...more
CME Group Proposes New Clearing Member Category to Help Customers Avoid Pro Rata Distribution Risk in Case of FCM Insolvency: CME Group filed proposed rule changes with the Commodity Futures Trading Commission that would...more
7/25/2016
/ Arbitration ,
Chicago Mercantile Exchange (CME) ,
Clearing Members ,
Commercial Bankruptcy ,
Criminal Prosecution ,
Dark Pool ,
Derivatives Clearing Organizations ,
Disruptive Trading Practices ,
EFRP ,
Forum Selection ,
Futures Commission Merchants (FCMs) ,
HSBC ,
Insider Information ,
MF Global ,
Settlement Agreements
Two Broker-Dealers to Pay US $154 Million to the State of NY and the SEC to Resolve Allegations of Wrongdoing by Their Dark Pools: Barclays Capital Inc. and Credit Suisse Securities settled allegations by the Securities and...more
2/9/2016
/ Barclays ,
Broker-Dealer ,
CFTC ,
Credit Suisse ,
Dark Pool ,
Enforcement Actions ,
Futures ,
Kraft ,
Nasdaq ,
Position Limits ,
Price Manipulation ,
Rare Earth Metals
Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more
9/1/2015
/ Administrative Hearings ,
Administrative Law Judge (ALJ) ,
Anti-Money Laundering ,
Appeals ,
Barclays ,
Block Trades ,
BNP Paribas ,
Capital Requirements ,
CFTC ,
Charles Schwab ,
Corporate Fines ,
Dark Pool ,
Dealers ,
Derivatives ,
Dismissals ,
EU ,
European Securities and Markets Authority (ESMA) ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Flash Boys ,
High Frequency Trading ,
Investment Adviser ,
Liquidation ,
National Futures Association ,
Office of Foreign Assets Control (OFAC) ,
Proposed Regulation ,
Sanctions ,
SAR ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
UBS
Hackers and Traders Charged by SEC and Department of Justice in International Securities Fraud Scheme -
The computer servers of three major newswire companies were allegedly hacked as part of an elaborate illicit...more
8/18/2015
/ Administrative Law Judge (ALJ) ,
Appointments Clause ,
BP ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Conflicts of Interest ,
Counterparties ,
Criminal Prosecution ,
Dark Pool ,
Department of Justice (DOJ) ,
EMIR ,
European Securities and Markets Authority (ESMA) ,
FERC ,
Hackers ,
Indictments ,
Natural Gas ,
Preliminary Injunctions ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swap Dealers ,
Trade Market Abuse ,
UK
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD -
The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
8/11/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
BATS Exchange ,
Broker-Dealer ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Dark Pool ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Virtual Currency ,
Wash Trades
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD:
The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
8/4/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Australia ,
Broker-Dealer ,
Canada ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
CME NYMEX ,
Dark Pool ,
Disruptive Trading Practices ,
Enforcement Actions ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Internal Controls ,
Japan ,
Securities and Exchange Commission (SEC) ,
Virtual Currency ,
Wash Trades