There have been at least twelve major flash crashes since the passage of the Dodd-Frank Act.4 The growing incidence of these events shakes confidence in ...
This is just the latest in a number of steps we have taken to address cross-border issues in swaps rules. We have harmonized clearinghouse regulation ...
Although I do not agree with every part of the proposal, I believe the proposal and questions lay out the key issues to allow for ...
The Division of Market Oversight is issuing a no-action letter that extends the relief provided in Letter No. 15-60 by permitting swap execution facilities (“SEFs”) ...
Today, Commissioner J. Christopher Giancarlo released a Podcast entitled “21st Century Markets Need 21st Century Regulation.” The podcast released today follows the recent address the ...
The Defendants market the system through various means, including a website, You Tube and other social media, written solicitation materials, a newsletter, and verbal communications ...
Cifuentes and Wee fraudulently solicited approximately $590,000 from members of the public to participate in a supposed commodity pool that traded leveraged or margined retail ...
Angus’s clients are retailers of heating oil, natural gas, and other fuel products. According to the Order, for compensation or profit, Angus advised its clients ...
Lindstrom hid his scheme from and defrauded Rock Capital by sending Rock Capital’s principal screenshots from trading software that Lindstrom doctored to omit his huge ...
I am very pleased that we are continuing this progress by expanding the Commission’s swap clearing requirement to include interest rate swaps denominated in nine ...