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 to supervision and sales practices
Read moreRetail 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 US retail forex market making business to act as an introducing broker in the US. As we reported earlier, FXDD sold its US business to…
Read moreFollowing the election of Chairman Timothy Massad to the CFTC earlier this year, a series of senior appointments have been made. Yesterday, Commissioner Sharon Bowen announced the key personnel that will form the US regulatory authority's legal and policy team
Read moreCFTC Charges Illinois Resident Gerald J. Considine and His Companies, Novo Trading and Considine Trading, with Fraudulent Solicitation and Misappropriating More than $1.65 Million of Customer Funds
Read moreThe Commodity Futures Trading Commission has extended the designation of DTCC-SWIFT further than its initial two years as legal entity identifier to assist expansion to global coverage
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