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Keyword: Derivatives

301 results found
gavel

Technical glitch prevented comprehensive trade surveillance by JP Morgan

Judge gavel, scales of justice and law books in court

Firm allegedly helped U.S. investors evade controls against offshore platforms

U.S. flag and voting stickers

Regulator seeks to outlaw derivatives on election outcomes, sports, other events

Court.

Suit alleges that retail investor trades violated securities law

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Court.

Trader placed numerous potentially misleading orders in bond futures

gavel

KuCoin platform accused of registration, money laundering violations

World graph

Underwriting activity expected to pick up monetary policy eases, DBRS says

Advisor tracking stocks

Non-trading revenues at U.S. venues also rose in 2023, Fitch reports

Euro trading

Policymakers to implement consolidated tapes, ban payments for order flow