Futures Industry Investigation: Briefings Before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, U.S. House of Representatives : April 18, 1989, Regulatory Structure and Registration System; May 24, 1989, Audit Trail Reviews; June 21, 1989, Sales Practices; June 28, 1989, Trade PracticesU.S. Government Printing Office, 1989 - 358 páginas |
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applicant audit trail background checks Board of Trade Business Conduct Committee CBOT cease & desist CFTC Chairman CHERRY Chicago Board Chicago Mercantile Exchange clearing house clearing member CME RULES COLEMAN COMEX Commission Commodity Exchange Commodity Exchange Act Compliance Department contract market Cotton Exchange CSCE customer order desist order disciplinary actions disciplinary committees dual trading employees ENGLISH Exchange's execution fast market fines firms floor broker futures contracts Futures Exchange futures trading GRANDY hearing indicated individual investigations involved LAVALLE McDONALD membership Mercantile Exchange Minneapolis Grain Exchange National Futures Association NFA's NYFE NYMEX offense offices penalties percent person personnel pit card practice abuses prearranged trading regulatory responsible rule violations sales practice settlement statement subcommittee TAROSKY TOTALS trade practice violations trading abuses trading ahead trading cards trading violations transaction warning letter York Futures Exchange York Mercantile Exchange