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  • Price Protection Is Price Protection Is Price Protection—Unless It’s FCM Activity Says CFTC
  • CME Settles With FCM for Failure to Timely Produce Documents; Other Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Following SEC Action, Broker-Dealer and CEO Also Charged by FINRA and 10 Securities Exchanges With Aiding and Abetting Client’s Layering, Spoofing and Cross-Market Manipulation
  • Inter-Dealer Broker Cannot Charge Commissions and Undisclosed Mark-Ups and Mark-Downs Says SEC Enforcement