November 03, 2017 BY LeapRate Staff
Morgan Stanley hit with CFTC fine for Futures and Options trade reporting
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against the Morgan Stanley and Co. Incorporated unit of Morgan Stanley (NYSE:MS), a registered Futures Commission Merchant (FCM), for non-compliance with applicable rules governing Part 17 Large Trader reports to the CFTC spanning a ten-year period and affecting thousands…
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