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What type of “insider trading” is prohibited by the CFTC within the commodities and futures markets?
28 Feb 2011, 11:36 am
Generally, regulation of the U.S. financial markets is divided between the Securities and Exchange Commission (“SEC”), with authority over securities, and the Commodity and Futures Trading Commission (“CFTC”), with authority over futures/derivatives. [read post]
25 Oct 2022, 3:15 am
The speech focused on the role of competition in what the Securities and Exchange Commission does, and how the agency employs the tools that it has across the fixed income, equity, and private markets. [read post]
11 Apr 2022, 3:31 am
Euro-denominated securities : the Commission confirmed that the prohibition concerning investment in euro-denominated securities does not apply to entities established in the EU that are owned by Russian citizens but registered in country other than Russia. [read post]
26 Nov 2021, 1:12 pm
The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy voting advice. [read post]
6 Jan 2022, 12:15 pm
The Securities and Exchange Commission today announced charges against Australian citizen Craig Sproule and two companies he founded, Crowd Machine, Inc. and Metavine, Inc., for making materially false and misleading statements in connection with an…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2021, 10:35 am
The Securities and Exchange Commission today charged registered investment adviser Global Infrastructure Management, LLC for failing to properly offset management fees and for making misleading statements about the fees and expenses it charged. [read post]
10 Jan 2022, 11:05 am
The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided information and assistance in two separate covered actions. [read post]
11 Feb 2022, 11:15 am
The Securities and Exchange Commission today announced that Kelly L. [read post]
6 Jan 2022, 10:10 am
The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information and assistance prompted the opening of an investigation and significantly contributed to the success of an SEC enforcement…Read the Full Press ReleaseHave a securities law question? [read post]
26 Nov 2021, 5:18 am
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. [read post]
11 Mar 2022, 10:10 am
The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. [read post]
31 Jan 2022, 9:10 am
The Securities and Exchange Commission today issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), providing a summary of the SEC staff’s examinations of NRSROs and discussing the state of competition,…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jan 2022, 8:42 am
The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions. [read post]
2 Dec 2021, 9:45 am
The Securities and Exchange Commission today charged the former Chief Financial Officer of pharmaceutical company Immunomedics, Inc. and his former romantic partner with insider trading in the company’s stock. [read post]
26 Jan 2022, 7:40 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
1 Feb 2022, 7:05 am
The Securities and Exchange Commission today announced that Lori H. [read post]
7 Dec 2021, 9:20 am
The Securities and Exchange Commission (SEC) today announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led to the success of a covered action. [read post]
28 Jan 2022, 8:30 am
The Securities and Exchange Commission today announced settled fraud charges without a penalty against HeadSpin, Inc., a private technology company that made significant remedial efforts in the wake of an internal investigation into misconduct by its now…Read the Full Press ReleaseHave a securities law question? [read post]
29 Nov 2021, 8:05 am
Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives. [read post]
16 Feb 2022, 8:00 am
The Securities and Exchange Commission today announced that Rita M. [read post]
