Brien & Associates LLC

Futures brokers say rule may put them out of business

By Silla Brush, Bloomberg | March 7, 2013

Futures brokerages say a proposed U.S. rule meant to protect customers’ money in a collapse like MF Global Holdings Ltd.’s bankruptcy may end up driving clients from the market and companies out of business.
Futures brokers say CFTC rule could threaten their business

By Silla Brush | February 16, 2013

Futures brokerages say a proposed U.S. rule meant to protect customers’ money in a collapse may end up driving clients from the market.
R.J. O’Brien sanctioned $300,000 for supervision violations

By Press Release | January 2, 2013

The CFTC says RJO failed to diligently supervise the handling of customer orders over four years.

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ABM AMRO ordered to pay $1 million for seg fund deficiencies

CFTC orders ABN AMRO Clearing Chicago LLC to pay $1 million to settle charges of segregated and secured fund deficiencies, a minimum net capital violation, books and records violation, and supervision failures.

Brien & Associates LLC

Futures brokers say rule may put them out of business

Futures brokers say CFTC rule could threaten their business

R.J. O’Brien sanctioned $300,000 for supervision violations

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Brien & Associates LLC

Futures brokers say rule may put them out of business

Futures brokers say CFTC rule could threaten their business

R.J. O’Brien sanctioned $300,000 for supervision violations

eNewsletter Signup

From ResourceInvestor.com

Featured Topics

Commodities

ETFs

Forex

Regulations

FuturesMag.com

Resources

Topics