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FINRA Fines Another Broker-Dealer For Alleged Breakdowns in Custody and Control of Customer FullyPaid and Excess Margin Securities

USA - January 21 2018 Jefferies LLC agreed to resolve a disciplinary action brought by the Financial Industry Regulatory Authority for violations of requirements to hold...


Canadian Self-Regulator Recommends Areas of Attention for Dealer Members

USA, Canada - January 21 2018 The Investment Industry Regulatory Organization of Canada provided its summary of compliance priorities for 2018. IIROC indicated that dealers'...


Broker-Dealer Agrees to Pay US $1.25 Million to SEC to Resolve Alleged Reg SHO Violations

USA - January 21 2018 The Industrial and Commercial Bank of China Financial Services LLC agreed to settle allegations by the Securities and Exchange Commission that it...


CBOE Futures Exchange Proposes Change to Trading Halt Rule for Bitcoin Futures

USA - January 21 2018 CBOE Futures Exchange proposed revised rules governing trading halts in Bitcoin Futures. Among other things, the amended rules create additional...


Federal Court Denies a Defendant’s Motion to Disqualify All SEC Trial Counsel in Manipulation Enforcement Action Because of Inadvertent Access to Privileged Communications

USA - January 21 2018 Avalon FA, Ltd, one of the defendants named in the Securities and Exchange Commission's enforcement action against Lek Securities Corporation for...