Gary DeWaal and Associates LL

Gary DeWaal's Bridging the Week May 27 to 31 and June 3, 2013

Bridging the Week

Published Date: June 03, 2013

This week Bridging the Week reviews, among other things:

a CFTC Fine of $1.5 Million against FC Stone for failing to have adequate risk controls; and
an extension by the CFTC's Division of Clearing and Intermediary Oversight until September 1, 2013, for FCMs to come into full compliance with that aspect of their obligations under Rule 1.73 related to account managers and bunched orders:

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