The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee…
Read MoreTag: dodd-frank act
CFTC charges Todd Marshall and three companies over illegal, off-exchange precious metals trading
The action exemplifies the application of the famous section 742 of the Dodd-Frank Act, which bans OTC leveraged retail precious metals transactions unless the metals are actually delivered within 28 days.
Read MoreLCH.Clearnet granted approval by CFTC for amended order of registration for derivatives clearing
The amendment permits LCH to provide clearing services for “swaps,” as defined in the Commodity Exchange Act (CEA) and Commission regulations, as well as all futures and options on futures, regardless of the underlying asset class
Read MoreCFTC set to hold public meeting on HFT – Will America remain prop-shop friendly?
On June 3, the CFTC’s Technology Advisory Committee will hold a public meeting to discuss its surveillance program, SEFs, and the currently hot topic of automated trading and HFT, a sector which thrives within the trading desks of Chicago and New York
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