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Tradition Securities and Derivatives gets a slap on the wrist for violations of COMEX rules
Tradition Securities and Derivatives LLC has agreed to pay a fine for alleged violations of COMEX rules concerning trade reporting. The relevant COMEX rules state:
Wells Fargo gets a slap on the wrist for alleged violations of Cboe rules
Wells Fargo Securities LLC has agreed to pay a fine of $50,000 to settle allegations about Cboe Exchange rule violations. The matter originated from a