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Posted on by T. Gorman Posted in SECActions

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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Posted on by T. Gorman Posted in SECActions

The Division of Enforcement, by any measure, had a successful year despite facing significant headwinds, according to its FY 2019 Annual Report. Success stems from a variety of factors, not just the number of cases or the amounts of money …

SEC Enforcement Division Reports on FY 2019 Read More »

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