WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label COMPLIANCE FUNCTIONS. Show all posts
Showing posts with label COMPLIANCE FUNCTIONS. Show all posts
Thursday, June 13, 2013

CHICAGO BOARD OPTIONS EXCHANGE TO PAY $6 MILLION PENALTY FOR OVERSIGHT AND ENFORCEMENT VIOLATIONS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., June 11, 2013 — The Securities and Exchange Commission today char...
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