2013 – Page 2 – SEC ACTIONS

Year: 2013

CFTC Issues Concept Release On Risk Controls For Automated Trading Systems

Posted on September 11, 2013 by T. Gorman Posted in SECActions

The CFTC issued a concept release on risk controls related to automated trading.

Tagged with: CFTC, high speed trading, risk controls, secactions

SEC Files Two Offering Fraud Cases

Posted on September 10, 2013 by T. Gorman Posted in SECActions

The SEC filed two more offering fraud cases.

Tagged with: offering fraud, secactions