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  • Non-US Broker Fined by CFTC for Soliciting Futures Orders and Handling Funds for Two US Customers Without Registration or an Exemption
  • Broker-Dealer Fined US $15 Million for Short Sales Deficiencies
  • Industry Groups Seek to Help Court Hearing the CFTC Enforcement Action Against DRW Regarding What Constitutes Attempted Manipulation
  • Et Tu, SEC?—SEC OCIE Announces 2016 Examination Priorities
  • Basel Banking Committee Issues Revised Framework for Risk Capital Requirements
  • Goldman Sachs Announces Up to US $5 Billion Settlement With Regulators for Its Handling of Residential Mortgage-Backed Securities