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- CME Group Files Disciplinary Actions for Trading Ahead of Block Trades and Failure to Supervise an Employee Engaging in Disruptive Trading Activities
- CFTC Settles Enforcement Action Against FCStone Markets for Unauthorized Swaps Transactions of Former Trader
- Promontory Financial Agrees to Pay US $15 Million to Resolve Allegations Regarding Conflicted Audit
- ASX Clear Approved as Exempt Clearinghouse for Swaps by CFTC
- OIG Criticizes CFTC's DMO for Inadequate Rule Enforcement Reviews, Blames Insufficient Staff
- Student Internships Result in Bank’s Settlement With SEC Over Alleged FCPA Violations
- Broker-Dealer Fined US $15 Million for Compliance and Surveillance Failures Related to Handling of Nonpublic Information
- CFTC Proposes Changes to Swap Data Recordkeeping and Reporting Requirements