Search for: "SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION et al v. COMMODITY FUTURES TRADING COMMISSION"
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28 Nov 2011, 8:57 pm
The regulated futures markets, long a stepchild of the larger financial markets, have been the most liquid, transparent and crisis free markets in the world. [read post]
28 Oct 2024, 3:23 am
Byrnes, et al., the Commodities Futures Trading Commission alleged that two employees of the exchange provided material non-public information they learned through the course of their employment to a broker.[4] It was agreed that the two employees “disclosed, among other things, the identities of counterparties to specific options trades, whether a particular counterparty purchased or sold the option, whether it was a call or… [read post]
24 Aug 2022, 9:01 pm
It is still unclear whether the investigation will result in an enforcement action.[15] Other Financial Regulatory Agencies Beyond the SEC, other financial regulatory agencies have clearly signaled to the market that they intend to step up ESG regulation and enforcement: Approximately two weeks after the SEC announced its creation of the Climate and ESG Task force, the Commodity Futures Trading Commission (“CFTC”) established… [read post]
25 Oct 2022, 10:46 am
Securities and Exchange Commission v. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
7 Feb 2011, 5:56 pm
In addition, any individual acting as a forex solicitor, account manager and/or pool operator is required to register with the Commission as an Introducing Broker, Commodity Trading Advisor (CTA) or CPO, as appropriate, and to become a member of the National Futures Association (NFA). [read post]
17 Dec 2018, 8:18 am
” The Commodity Futures Trading Commission (“CFTC”) views cryptocurrencies and derivative contracts based on them as commodities in certain circumstances, and the CFTC has brought enforcement actions as well. [read post]
14 Nov 2024, 9:05 pm
It’s why we adopted money market fund reform[30] as well as updates to the information we collect from private funds.[31] Though the SEC had adopted rules in both areas after the financial crisis, we learned from the instability when COVID broke out that much had changed. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
14 Nov 2024, 9:01 pm
It is possible that the SEC could even go so far as to set up a novel regulatory framework for digital assets, perhaps working alongside the Commodity Futures Trading Commission,[6] [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
11 Jul 2013, 6:19 pm
Governmental Impositions and the Private Sector Contributions to the National Social Security System.. 600 .... iii. [read post]
