The US Commodity Futures Trading Commission has issued an order filing and simultaneously settling charges against Goldman Sachs & Co for failing to make and keep certain audio recordings as required under CFTC regulations for swap dealers.
SEC Chairman says Dodd-Frank Act whistleblower program is ‘invaluable component’ in tackling securities fraud
The Chairman of the US Securities and Exchange Commission (SEC), Jay Clayton, has backed the Dodd-Frank Act’s whistleblower reward law, saying that the whistleblower program is an “invaluable component” to the Commission’s “enforcement efforts.”
The US Securities and Exchange Commission (SEC) is neeting on Wednesday 23 October to vote on proposed changes to the SEC's highly successful Dodd-Frank Act whistleblower reward program.
The US Commodity Futures Trading Commission announced today that it issued orders filing and settling charges against two interdealer brokers – BGC Financial, LP and GFI Securities, LLC.
The US Commodity Futures Trading Commission has issued two orders filing and settling charges against Tullett Prebon Americas Inc, an interdealer broker and CFTC-registered introducing broker headquartered in New Jersey, requiring the company to pay a total of USD13 million for failing to supervise employees and making false or misleading statements to CFTC staff.
SEC and CFTC charge Options Clearing Corp with failing to establish and maintain adequate risk management policies
The Options Clearing Corporation (OCC) is to undertake remedial efforts and pay USD20 million in penalties to settle SEC and CFTC charges that it failed to implement policies to manage certain risks as required by US laws and SEC and CFTC rules.
The Securities and Exchange Commission has charged New York-based broker-dealer AOC Securities, and its former chief executive officer, Ronaldo Gonzalez, with failing to supervise an AOC broker who provided inflated price quotes for certain securities to a significant customer of AOC.
US Commodity Futures Trading Commission Chairman Heath P Tarbert has announced the following appointments to the CFTC’s executive leadership team.
The US Securities and Exchange Commission (SEC) announced a whistleblower award to an anonymous overseas foreign national of half a million dollars.
By Northern Trust – With Regulation Best Interest in the rearview mirror, the SEC is poised to finalise rules governing fund of fund arrangements.
Following the adoption of the long-delayed final Regulation Best Interest in June, what’s next for the US Securities and Exchange Commission (SEC)?