Trading

The Commodity Futures Trading Commission (the “Commission” or the “CFTC”) is issuing a final rule to amend the limited trade options exemption in the Commission’s ...

fully recognize the difficulty in distinguishing between different types of physical contracts. If a particular contract or an element of a contract serves an ...

Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...

CSSU violated Section 17(a)(2) of the Securities Act by making misrepresentations regarding CSSU’s use and application of an “Alpha Formula/Scorecard” (“Alpha Formula”), which CSSU used to ...

CSSU did not fully and completely disclose to all Crossfinder subscribers the fact that confidential order information was being transmitted to the AES SOR or ...

Barclays made materially misleading statements and omitted to state certain material facts necessary to make statements made not misleading concerning a) the operation of an ...

Five years after being charged with marking the close of some trades, former adviser Donald Koch is asking the U.S. Supreme Court to vacate the ...

With its proposed rule to heighten disclosures from alternative trading system operators (IA Watch, Nov. 19, 2015), the SEC wants to bring dark pools into ...

In its Complaint, the Commission alleged that Ling, a day-trader, engaged in a manipulative trading scheme by repeatedly marking-the-close and entering into matched trades in ...

FINRA is uncorking a new report card in the New Year aimed at helping broker-dealers identify and prevent manipulative trading activity such as spoofing and ...