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The fraud included solicitation via fictitious screenshots - kina funny, but about time.

The race to zero THE ETF FEE WARS RAGE ON, EVEN FOR COMPLEX STRATEGIES ETFS By Elisabeth Kashner, CFA | July 22, 2019 The first half of 2019 marked a tiny shift in fund investment trends, with investors showing some willingness to try complex strategies. For years, dollars have flowed to...

CFTC Order

That's kind of not the issue. There is nothing that prevents a Korean broker from registering in the US. The parties involved simply don't want to spend the $$ to do proper surveillance on Korean securities. The securities side can be still be made available to institutions,bds and qualified...

Long-dated options show very very little skew - you need to make certain you are modeling them correctly. Most common models will give an output which is generally right about the price, but incorrect on the greeks. You would like to make certain you use a purpose-built long-dated model and...

The SEC has a list on their site. They did execute a reciprocal discussion agree with Korea in 06, but no reciprocal trading agreement. No enforcement cooperation - no trading. Cooperative Arrangements with Foreign Regulators Cooperative Arrangements Fact Sheet Argentina (December 9...

SEC requires a reciprocal compliance agree with the regulator of the other country - otherwise no retail securities. We have it with numerous countries, CFTC has an agreement with Korean regulator on CFTC regulated products. Easy to execute it on indicies - a bit tougher on stocks. Some...

Generally when trading isn't offering to US retail, but available to Institutional it's about reciprocal compliance agreements. Korean futures are CFTC approved for US retail, even though they just got tagged for by the CFTC for regulatory shortcomings. Last I looked no reciprocal agreement...

More on Yesterday's SPIKES Options Trade ****SD: Above is a chart of yesterday's most active index options. Trade Alert's Henry Schwartz provided this background on the SPIKES ratio call spread trader: After a brief climb to 14.40 yesterday, the SPIKES index was near 13.30 in the afternoon with...

https://tabbforum.com/opinions/exchange-industry-revenues-reach-record-levels-in-2018/

Haters got you - sound like murder on the orient express.

CME Group <MarketRegulation@cmegroup.com> Unsubscribe 12:22 PM (5 hours ago) to me View in your browser Business Conduct Committee Attached are the Chicago Board of Trade and Chicago Mercantile Exchange disciplinary postings for the following, which have an effective date of...

1:50 PM (3 hours ago) to me TRADER UPDATE 07/19/2019, 14:46 NYSE OPTIONS: 2022 LEAP INTRODUCTION New LEAP series expiring in January 2022, will be added for all qualifying issues for trading on Monday, September 16, 2019, regardless of the underlying’s expiration cycle...

I would like to see Baron's take here as he would gotten an information request as well. You should IMHO clarify this is more about having a regulated day job.

Opposing view - who are the richest folks in the world and how diversified are their holdings. Bezos Gates The Walton Family Ortega Schultz Ellison Page Some $$ in bold bets.

Elon Musk Charged With Securities Fraud for Misleading Tweets https://www.sec.gov/news/press-release/2018-219 I believe he got off - probably a couple hundred thousand in legal fees. Besides who's going to fire Musk?

The core issue is why do want it early assigned? If the answer is unclear I would get out. You don't have to answer online - if you want to wait until it MAY go ITM then clear out when that happens. If it's OTM and stays OTM then there are a couple of ways to go - depends on your capital and...

http://alphacution.com/the-legend-of-david-e-shaw-hiding-in-plain-sight/?utm_source=LinkedIn+Connections_20180316&utm_campaign=d1dd1da7c0-EMAIL_CAMPAIGN_20190718&utm_medium=email&utm_term=0_98541b806d-d1dd1da7c0-204597581

Manufacture the exercise - sell the stock and the option. The net should be higher than if you waited especially if something is going on.

The PDF from the comment