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  • Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Two Foreign Agribusinesses Agree to Resolve CFTC Charges for Their Alleged Failure to Report Physical Positions
  • SEC Amends Rules of Practice for Administrative Proceedings to Make More Court-Like
  • Computer Coding Error Results in Broker-Dealer Blue Sheets’ Errors Over 15 Years and US $7 Million SEC Fine
  • Speakers Attack Source Code and Registration Provisions of Proposed Reg AT Before Congressional Committee
  • Enhancement of Broker-Dealer Disclosure Obligations Regarding Customer Order Handling Goal of SEC Proposed New Rules
  • Introducing Broker Settles CFTC Action for Solicitation Fraud and Lying to NFA
  • Industry Participants Generally Applaud Proposed Amendments to CFTC Position Limit Proposal But Criticize Ability to Undo Exchanges’ Determinations