Trading

Rapid growth via acquisition and aggressive rep recruitment has come at a price for LPL Financial. The nation’s largest independent broker-dealer has been fined $10 ...

CFTC Director of Enforcement Aitan Goelman commented: “Protecting the integrity and stability of the U.S. futures markets is critical to ensuring a properly functioning financial ...

Commissioner Giancarlo encourages his fellow commissioners to "better align the CFTC’s swaps trading rules with the sensible and flexible regulatory framework set out by" Dodd-Frank.

The speed and interconnectedness in our markets provides a number of benefits. However, we also know that when software or computers fail, they can ...

This CTA settles trading and supervision violations for $105,000.

NFA conducted an examination of McVean Trading in late 2012 which, among other matters, raised questions about the calculation of the performance information included in ...

NFA Member Dow McVean was charged with failing to enact required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The ...

This case concerned not having required procedures regarding allocations from bunched orders, in violation of NFA Compliance Rule 2-10. The Complaint also charged David George ...

Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...