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  • SEC Proposes FINRA Oversee Certain High-Frequency Trading Firms; FINRA and FIA Issue Best Practice Guidance
  • CFTC Fines Grain Dealer and Merchant US $800,000 for Improperly Reporting Positions
  • MF Global Inc. Trustee Seeks Authorization to Pay Out Additional US $461 Million to General Creditors; Second Lehman Brothers General Creditors Distribution Underway Too
  • Oppenheimer & Co. Fined US $2.5 Million by FINRA for Failure to Supervise Salesperson Previously Convicted of Broadway Fraud
  • CME Group and ICE Futures U.S. Each Fine a Trader for Automated Trading System Malfunction
  • Introducing Broker Fined by ICE Futures U.S. for Misreporting and Not Maintaining Required Records for Block Trades
  • NY Fed Report Cautions That Too Few Participants in Central Clearing May Increase Counterparty Risk and Margin Requirements
  • CFTC Grants More Permanent CCO Annual Report Filing Deadline Extension
  • Broker-Dealer Fined US $400,000 by FINRA for Short Sales Ahead of IPO Participations
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