The US government is currently shutdown. This is one of the longest shutdowns of the US government ever in history. While President Trump tries to firmly defend his position on …
Tag: US Government
Should the proposed rule be implemented, U.S. covered swap entities would be required to comply with the Commission’s margin rules for all uncleared swaps but would be eligible for substituted …
Barclays is subject to £1.53 billion in fines from 6 US and British authorities, representing the highest fiscal penalty paid so far by any single institution with regard to the …
The revised Sanction Guidelines now advise FINRA adjudicators to strongly consider barring an individual respondent, or expelling a firm, for cases involving fraud
The joint outreach program will be held on July 14 at the SEC’s Washington D.C. headquarters, with topics of interest on the agenda including cybersecurity, anti-money laundering, and firms’ approaches …
US Secretary of the Treasury Jack Lew returns from China and states that the Yuan is not ready for the prime time
The NFA found that Nextsource Trading Corporation, a clearing member on CME and ICE, had entered discretionary trades on customer accounts without authorization
Joseph M. Mecane has been appointed Floor Member Governor on FINRA’s Board of Governors. Mr. Mecane is currently a Managing Director of Electronic Equities and Credit Products at Barclays, and …
Retail forex broker FXDD and the US National Futures Association (NFA) have agreed on a $500,000 settlement relating to administrative issues, as FXDD has been in process of exiting the …
North American commodity pool operator Paul Greenwood’s fraudulent scheme had such high value that the receiver’s efforts to marshal assets to date have resulted in the recovery of over $900 …
