Regulatory Actions

This week's round up of regulatory actions taken by the SEC and CFTC.
Several European countries are moving forward with plans to tax trades in equities and derivatives – a move that most say will reduce liquidity. Here’s why some say that’s not such a bad thing
New NFA board members, Bry & Jaffarian, present plan to make MF Global customers whole and restore confidence in the industry.
The two newest members on the board of the NFA wants the group to help make MF Global customers whole.
Federal court in Illinois orders former futures trader David Sklena to pay over $6.6 million for cheating customers
The CFTC met to discuss rules related to swaps compliance and swap block trades in the 24th meeting for Dodd-Frank rules
CFTC orders Iowa resident Jeffrey J. Kinseth and his company, Virtual Vision Inc., to pay more than $1 million in restitution and penalties in fraud action
CFTC orders New York Firm D.E. Shaw & Co. L.P. to pay $140,000 penalty for violating soybean and corn futures speculative position limits
The SEC’s Division of Enforcement alleges that Spencer D. Mindlin obtained non-public details about Goldman’s plans to purchase and sell large amounts of SPDR ETFs.
Judge Martin Glenn ruled against a motion that would have given former MF Global customers priority rights over Chapter 11 creditors.