The Commodity Futures Trading Commission is the newly energized market regulator under Dodd-Frank and the tutelage of Chairman Gary Gensler. Its new authority over most of the swaps markets has transformed one of Washington’s smaller agencies into a new power …
Month: October 2012
Brokers Charged by SEC and DOJ for Fraudulent Mark ups and Mark Downs
The SEC and the U.S. Attorney’s Office in Manhattan continue to work closely together, policing the markets. While typically that partnership spawns insider trading cases, this time it resulted in a civil enforcement action against four brokers and criminal charges …
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