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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