A proprietary trading firm settled NYSE American charges for incorrectly marking sell orders.
News & Insights
22393 News Results
The CFTC Division of Clearing and Risk granted no-action relief to CX Clearinghouse, L.P. from certain derivatives clearing requirements in light of the company's fully collateralized clearing model.
FINRA proposed the adoption of a Supplemental Liquidity Schedule for "members with the largest customer and counterparty exposures." The Schedule would supplement FOCUS Report filings.
A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.
A Dallas-based global payments company settled potential civil liability with OFAC for alleged violations of multiple sanctions regulations.