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Searching Content indexed under Finance and Banking by Stephen Luparello ordered by Published Date Descending.
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Knight Capital Settles Rule 15c3-5 Violations With SEC, Agrees To Pay $12 Million
On October 16, 2013, Knight Capital Americas LLC (Knight Capital) agreed to pay $12 million to settle charges brought by the Securities and Exchange Commission (SEC) alleging that the firm violated Rule 15c3-5 (the Market Access Rule or Rule) under the Securities Exchange Act of 1934
United States
24 Oct 2013
2
Addressing The Need For Speed: CFTC Seeks Comment On Risk Controls For Automated Trading Environments
Summary: On September 12, 2013, the Commodity Futures Trading Commission ("CFTC" or "Commission") published a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments ("Concept Release" or "Release").
United States
7 Oct 2013
3
CFTC Concept Release On Automated Systems And Risk Controls
On September 12, 2013, the Technology Advisory Committee of the Commodity Futures Trading Commission held a public meeting to discuss the CFTC’s recent Concept Release on Risk Controls and System Safeguards for Automated Trading.
United States
17 Sep 2013
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