CFTC Brings First Insider Trading-Type Enforcement Action Based on New Anti-Manipulation Authority: Last week the Commodity Futures Trading Commission brought and settled its first enforcement action sounding in the...more
FINRA did not wait for any dust (or snow) to settle on the New Year before alerting the brokerage industry and the public about its regulatory and examination priorities for 2014. This year’s letter, issued earlier than ever...more