Trading

We look forward to working with our fellow Commissioners and the staff, as well as partnering with market participants to shorten the settlement cycle as ...

This firm must turn to a professional acceptable to the NFA to help with future disclosure documents and the firm's promotional materials. It also must ...

According to the Order, from at least June 2006 through May 2008, Welsh, while working as a broker at MF Global, Inc., received market-on-close orders ...

These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcoming ratings ...

As described in the Order, cotton merchants and dealers that hold or control at least 100 cotton futures positions, the reportable level for cotton futures ...

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.