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 previously served as EVP at NYSE
Read moreConsumer protection is a matter at the forefront of priorities for US regulatory authorities to the point of ensuring other jurisdictions meet stringent criteria when handling client deposits.
Read moreAs part of its recent customer protection rulemaking, the Commission adopted a standardized template acknowledgment letter to be executed by FCMs and their respective depositories holding customer funds.
Read morePhil Mackintosh, KCG's Head of Trading Strategy and Analysis has published an analysis called "Who Gets the Short End of the 'Tick?" which examines the Securities and Exchange Commission's pilot program to widen tick sizes in electronic trading. Are dark pools the future across North America?
Read moreUS Government signs off bill scaling back the CFTC's power to control swaps in other countries, after a year of planning global regulatory standardization
Read moreNotable for her efforts in overseeing the LIBOR investigation, Gretchen Lowe assumes the position of Principal Deputy Director and Chief Counsel in the CFTC’s Division of Enforcement.
Read moreCFTC cites Robert J. Andres of Houston, Texas, his company, Winsome Investment Trust, Robert L. Holloway of San Diego, California, and his company US Ventures LC, in civil monetary penalty of $32,370,000 and restitution for defrauded customers totaling $12 million.
Read moreSeries of senior appointments have been made by CFTC Chairman Timothy Massad as he begins his term at the top of the US federal regulator.
Read moreCFTC's most recently elected Commissioner joins the US regulatory authority after substantial experience in the electronic trading industry at senior level.
Read moreUS authorities expand willingness to strengthen global regulatory framework for OTC derivatives by cooperating with Australian financial regulator.
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