We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 1763
Most popular |Most recent


US opposes effort of imprisoned trader to have Supreme Court consider overturning conviction for spoofing

USA - April 15 2018 The Department of Justice opposed the efforts of the first individual convicted of spoofing under a Dodd-Frank law to have the US Supreme Court hear...


CFTC and CBOT Collectively Fine Floor Broker US $250,000 for Alleged Repeat Spoofing Violations

USA - April 15 2018 The Commodity Futures Trading Commission and the Chicago Board of Trade collectively sanctioned a floor broker US $250,000 for purportedly engaging in spoofing trading activities......


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations

USA - April 15 2018 Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not...


Bridging the Week by Gary DeWaal: April 2 to 6 and April 9, 2018 (Kospi 200; Irrevocability; Virtual Currencies; CFTC Jurisdiction)

USA - April 8 2018 A United States appeals court said that the Commodity Exchange Act’s prohibition against spoofing and other conduct could potentially apply in...


Brokerage Company Settles NY Charges Related to Nondisclosure of Order Execution Practices

USA - April 1 2018 Bank of America Corporation and Merrill Lynch, Pierce, Fenner and Smith Incorporated settled charges brought by the New York State Attorney General...