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  • Trading Firm and Individual Trader Settle CFTC Allegations of Engaging in Wash Sales to Obtain Exchange Fee Rebates
  • Broker-Dealer Pays $1.5 Million to Settle FINRA Charges for Failing to Maintain Books and Records in WORM Format
  • CFTC Inks Non-Prosecution Agreements With Three Traders Who Admit to Spoofing
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