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  • ESMA Publishes Final Technical Standards for MiFID II
  • Proprietary Trading Firm Agrees to Pay More Than US $8 Million to SEC to Resolve Market Access Charges Emanating From Faulty Software
  • US Judge Rules JP Morgan's Collateral Requests to Lehman Brothers In Its Dying Days Were Mostly Okay
  • Swaps Dealer Agrees to US $2.5 Million Fine to Resolve Charges by CFTC That It Misreported Certain Swap Transactions
  • Broker-Dealer Assessed US $4.25 Million Fine for Two Years of Flawed Blue Sheets
  • Individual Banned by CFTC From Trading for Life for Speculative Limit Violations on Six Days
  • Agriculture Merchandiser's Inaccurate Reports of Physical Commodities Result in US $400,000 CFTC Fine
  • CFTC Again Delays Most New Ownership and Control Reporting Requirements
  • Alleged Money Passes, Disruptive Trading, Wash Trades and Position Limit Violations Highlight Multiple CME Disciplinary Actions