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Tag: us regulation

GAIN Capital's GTX Gets Temporary Registration as SEF

Apr 17 2014 19:53:10 Forexbrokerz.com in Market

Only a couple of hours ago, the Commodity Futures Trading Commission (CFTC), the big-teeth watchdog of the United States, announced that it had granted a temporary registration as a swap execution facility (SEF) to GTX, a subsidiary of Forex major GAIN Capital. Read more

ConvergEx Brokerage Subsidiaries to Pay $107.4m over Commissions Scam

Dec 20 2013 08:08:27 Forexbrokerz.com in Market

The United States Securities and Exchange Commission (SEC) has reached a settlement with three brokerage subsidiaries of technology major ConvergEx Group and two individuals working at the group over financial fraud charges. Read more

US SEC Enforcement Division Reports Record $3.4bn in Penalties for FY 2013

Dec 18 2013 07:31:46 Forexbrokerz.com in Market

The United States Securities and Exchange Commission (SEC), one of the most stringent regulators of financial trading, has just announced the results of its enforcement division for the fiscal year that ended on September 30, 2013. Read more

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