A Broker’s Expanding Obligations

A Broker’s Expanding Obligations

­By Matthew Kluchenek and Michael Sefton It’s no secret that disruptive trading practices are a key concern of market regulators.  Spoofing and other disruptive trading practices have garnered attention in recent years and traders and advisers have had to learn quickly the ropes on permissible trading practices.  Now, it appears that FCMs (and possibly IBs)…...

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