Year: 2019

The SEC and the CFTC resolved enforcement actions against the Options Clearly Corporation, imposing $20 million in penalties for regulatory failures. This is the first such actions. It serves to highlight the key financial position of the OCC in the …

SEC. CFTC Settle With OCC, Imposing $20 Million in Penalties Read More »

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A look forward; a look back: As the end of the Government fiscal year loams, the Commission seems to have kicked the case filing machine into gear. Last week the agency filed 15 new cases. While at times the Commission …

This Week In Securities Litigation (Week of Sept. 3) Read More »

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