A broker-dealer settled NYSE charges for numerous trading violations.
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The CFTC approved a number of amendments to its Designated Contract Markets rules to include electronic trading risk principles.
The CFTC Division of Clearing and Risk and the Division of Market Oversight granted no-action relief to LCH Limited from the trade execution requirement for certain transactions entered into under established default rules and procedures.
NFA reminded registrants that the upcoming Swaps Proficiency Requirements deadline is January 31, 2021.
The CFTC unanimously approved amendments intended to "comprehensively update" its bankruptcy regulations.