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  • CFTC Hosts Regulation AT Roundtable; Chairman Implies Risk Rules Sufficient for 2016
  • CME Group Sanctions Trader For Impermissibly Executing Customer Orders as EFRPs With Mark-ups and Firm For Defective Trading System
  • Persons Associated With FINRA Members Who Design and Develop Algo Systems Required to Register by End of January 2017
  • FINRA Sanctions One Broker-Dealer for Sales of Non-Traditional ETFs to Retail Clients and Another for Conditioning a Customer Settlement on a CRD Expungement Request
  • Interagency Federal Bank Oversight Organization Warns Financial Institutions to Heighten Cybersecurity Following Recent SWIFT Attacks