SEC announces whistleblower award of more than $325,000 LeapRate

November 04, 2015 BY Mike Fox

SEC announces whistleblower award of more than $325,000

The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the extent of the fraudulent activity. The whistleblower provided a detailed description of the misconduct and specifically identified…

September 29, 2015 BY Maria Nikolova

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.

December 18, 2014 BY Andrew Saks-McLeod

LCH.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

May 14, 2014 BY Andrew Saks-McLeod

CFTC 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

Tag: dodd-frank act