trending Market Intelligence /marketintelligence/en/news-insights/trending/Gp_QOspqDuQ60r1b9KUYKw2 content
Log in to other products

Login to Market Intelligence Platform

 /


Looking for more?

Contact Us

Request a Demo

You're one step closer to unlocking our suite of comprehensive and robust tools.

Fill out the form so we can connect you to the right person.

If your company has a current subscription with S&P Global Market Intelligence, you can register as a new user for access to the platform(s) covered by your license at Market Intelligence platform or S&P Capital IQ.

  • First Name*
  • Last Name*
  • Business Email *
  • Phone *
  • Company Name *
  • City *
  • We generated a verification code for you

  • Enter verification Code here*

* Required

Thank you for your interest in S&P Global Market Intelligence! We noticed you've identified yourself as a student. Through existing partnerships with academic institutions around the globe, it's likely you already have access to our resources. Please contact your professors, library, or administrative staff to receive your student login.

At this time we are unable to offer free trials or product demonstrations directly to students. If you discover that our solutions are not available to you, we encourage you to advocate at your university for a best-in-class learning experience that will help you long after you've completed your degree. We apologize for any inconvenience this may cause.

In This List

CFTC orders E*TRADE Financial units to pay penalty over supervisory failures

Street Talk Episode 68 - As many investors zig away from bank stocks, 2 vets in the space zag toward them

Street Talk Episode 66 - Community banks tap the debt markets while the getting is good

Street Talk Episode 67 - Veteran investor tabs Mick Mulvaney to help with latest financial stock-focused fund

Street Talk Episode 65 - Deferral practices trap US bank portfolios in purgatory


CFTC orders E*TRADE Financial units to pay penalty over supervisory failures

The Commodity Futures Trading Commission has ordered E*TRADE Securities LLC and E*TRADE Clearing LLC to jointly pay a $280,000 civil monetary penalty for failing to preserve audit trail logs for customers.

The agency also ordered the companies to cease and desist from violating further regulations of the Commodity Exchange Act.

The violations at E*TRADE Securities occurred between October 2009 and January 2014, while E*TRADE Clearing's violation occurred after it registered as a futures commission merchant with the CFTC in February 2013.

The order also requires the two entities to improve their recordkeeping procedures by updating their policies and procedures and providing appropriate training to officers and employees regarding the Commodity Exchange Act's recordkeeping requirements.

E*TRADE Securities and E*TRADE Clearing are units of E*TRADE Financial Corp.