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Foreign Listed Stock Index Futures and Options Approvals December 2023

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of December 19, 2023. All prior versions are superseded and should be discarded. Please note the following...more

Foreign Listed Stock Index Futures and Options Approval Chart March 2021

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of March 25, 2021. All prior versions are superseded and should be discarded. Please note the following developments...more

Foreign Listed Stock Index Futures and Options Approval Chart - October 2019

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 29, 2019. All prior versions are superseded and should be discarded. Please note that since we last...more

Foreign Listed Stock Index Futures and Options Approval Chart - September 2019

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of September 1, 2019. All prior versions are superseded and should be discarded. Please note the following...more

Bridging the Week - November 2018

During the prior two weeks, three financial authorities in the United Kingdom as well as the Hong Kong Securities and Futures Commission issued reports assessing distributed ledger technology and risks associated with the...more

Bridging the Weeks - May 2018 #2

The chief executive officer of a major worldwide banking group agreed to pay the equivalent of US $870,000 as fines to two United Kingdom regulators, and had the equivalent of US $677,000 of prior pay clawed back by his...more

Bridging the Weeks - April 2018 #2

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...more

Bridging the Weeks - April 2018

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...more

Bridging the Week - January 2018 #3

SEC Not Feeling Groovy About Cryptocurrencies – Tells Registered Investment Funds: Slow Down, You Move Too Fast: The Securities and Exchange Commission’s Division of Investment Management issued a letter to two industry...more

Bridging the Week - June 2017

Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures: David Liew, a former junior trader...more

Bridging the Week - April 2017 #2

SEC Chairman Nominee Advances: Jay Clayton took another step to becoming chairman of the Securities and Exchange Commission when the US Senate Committee on Banking, Housing and Urban Affairs approved his nomination for the...more

Bridging the Week - December 2016 #3

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

Bridging the Week - November 2016 #3

Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague - The US federal court handling...more

Foreign Listed Stock Index Futures and Options Approval Chart November 2016

This Foreign Listed Stock Index Futures and Options Approvals chart is current as of November 2016....more

Foreign Listed Stock Index Futures and Options Approval Chart October 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 2016. All prior versions are superseded and should be discarded. Please note the following developments...more

Bridging the Week - September 2016 #4

Ex-Airline Employee Sued by CFTC for Insider Trading of Futures Based on Misappropriated Information: The Commodity Futures Trading Commission brought and settled charges against Jon Ruggles, a former trader for Delta...more

Bridging the Week - May 2016

FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential...more

Bridging the Week - March 2016 #2

Federal Court Allows Former Hedge Fund Operator’s Lawsuit Alleging Civil Rights Violations to Proceed Against US Attorney and Other Government Officials: A federal court in New York City refused to dismiss a lawsuit against...more

Bridging the Week - February 2016 #2

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

Bridging the Week - October 2015 #3

Three Individuals Fined and Banned From Trading on CME Group Exchanges for Market Conduct Violations - CME Group business conduct committees permanently banned three traders from trading on CME Group exchanges for market...more

Bridging the Week - July 2015

China Regulator Issues Final Interim Measures Governing Overseas Access to Its Futures Markets - The China Securities Regulatory Commission issued final interim measures to permit trading by overseas investors on...more

Bridging the Week - June 2015 #5

UK Regulators Implement Tougher Pay Rules for Banking Institutions’ Senior Managers: The United Kingdom Prudential Regulation Authority and Financial Conduct Authority have adopted new rules regarding the remuneration of...more

Bridging the Week - June 2015 #4

Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally - The Securities and Exchange Commission...more

Bridging the Week - May 2015 #3

CFTC Chairman Discloses Second Phase of Regulatory Review Before Senate Committee; Commissioner Giancarlo Questions Position Limits Proposal Before Energy Risk Summit - Timothy Massad, Chairman of the Commodity Futures...more

Bridging the Week - March 2015 #4

ICE Futures Fined US $3 Million by CFTC for Reporting Errors and Untimely Response to Inquiries - The Commodity Futures Trading Commission fined ICE Futures U.S., Inc. US $3 million last week for filing allegedly...more

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