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15 Dec 2017, 9:01 am by CFM Admin
Commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) currently relying on certain exemptions from registration with the CFTC are required to re-certify their eligibility within 60 days of the calen [read post]
14 Dec 2017, 4:16 pm by Cynthia Marcotte Stamer
Well-known for her extensive work with health, insurance, financial services, technology, energy, manufacturing, retail, hospitality, governmental and other highly regulated employers, her nearly 30 years’ of experience encompasses domestic and international businesses of all types and sizes. [read post]
14 Dec 2017, 6:35 am by Dan Carvajal
This applies not only to auction sites like eBay Inc., but also to the marketplace sales managed by Amazon and other online sellers. [read post]
12 Dec 2017, 4:36 pm by Kevin LaCroix
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
12 Dec 2017, 1:27 pm by Cynthia Marcotte Stamer
Well-known for her extensive work with health, insurance, financial services, technology, energy, manufacturing, retail, hospitality, governmental and other highly regulated employers, her nearly 30 years’ of experience encompasses domestic and international businesses of all types and sizes. [read post]
12 Dec 2017, 9:38 am by Cynthia Marcotte Stamer
Well-known for her extensive work with health, insurance, financial services, technology, energy, manufacturing, retail, hospitality, governmental and other highly regulated employers, her nearly 30 years’ of experience encompasses domestic and international businesses of all types and sizes. [read post]
5 Dec 2017, 12:01 pm by ligitsec
Morton David Goldberg, Cowan, Liebowitz & Latman, New York, New York, for amici Alliance Entertainment Corp., Audible Inc., Blue Spike, Inc., The Clandestine Group, Inc., Digimarc Corporation, Digital Media on Demand, Inc., FullAudio Corporation, InterTrust Technologies Corporation, Oak Technology, Inc., Reciprocal, Inc., RioPort, Inc., RPK SecureMedia Inc., Verance Corporation, and VNU USA, Inc. [read post]
1 Dec 2017, 2:55 pm by Jeff Kern and Kate Ross*
However, this fall, the Enforcement Division shed additional light on its future direction by announcing the creation of two new operations—the Retail Strategy Task Force and the Cyber Unit—designed to enhance investor protection and combat cyber-related threats, respectively, two of the SEC’s key priorities.[17] Although neither of these priorities are entirely new, they represent the Commission’s emphasis on efficiency by consolidating resources and employing new… [read post]
1 Dec 2017, 11:54 am by John Jascob
Quintenz observed that rapid and widespread acceptance and adoption of distributed ledger technology (DLT) in the financial setting promises to transform a range of business operations in the derivatives industry. [read post]
30 Nov 2017, 1:39 pm by Lindsay Griffiths
Mary Abraham of Broadli, Inc. addresses this in her comments, as does HighQ’s Ryan McClead. [read post]