Tag: CFTC

Uneconomic trading in regulated markets is a key focus of market regulators such as the DOJ, SEC, CFTC and FERC. Traders at times, for example, take different positions in select markets which can result in losses in one market and …

The DOJ, SEC, CFTC, FERC and Uneconomic Market Trading Read More »

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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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