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1 Mar 2016, 7:19 am
Marcum – SEC charged an Indiana resident who falsely touted himself as a successful trader and asset manager to raise more than $6 million from investors. [read post]
26 Feb 2016, 10:38 am
On February 11, 2016, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule with the Securities and Exchange Commission (“SEC”) that would require individuals who “design, develop or significantly modify algorithmic trading strategies” (or “ATS”) as well as individuals responsible for the “day-to-day supervision or direction of the development process,” to pass a qualification exam and register with FINRA as securities… [read post]
25 Feb 2016, 7:02 am
” Enron’s Traders. [read post]
25 Feb 2016, 7:02 am
” Enron’s Traders. [read post]
24 Feb 2016, 11:28 am
Even though the neighborhood is rustic (no streetlights or sidewalks, lots of redwoods) and feels millions of miles away from the craziness of Silicon Valley, it’s an easy walk to a Lucky’s supermarket, Trader Joe’s, Rite Aid, the Foothill Produce store, restaurants, Wells Fargo bank, and the Woodland Library. [read post]
24 Feb 2016, 9:28 am
Examples of “sexual degradation of female traders” include “[m]en openly debat[ing] hiring women based on their looks,” a wide array of sexually explicit remarks and text messages, and even men engaging in sexual activity in front of other employees. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
20 Feb 2016, 6:40 am
In both cases, the New York district court found personal jurisdiction, reasoning that the “manufacturer of MTBE had created a national market for its product and had sold it to refiners, traders, and blenders who incorporated it into their gasoline. [read post]
19 Feb 2016, 5:00 am
Here is the complete Top 10 list: SEC Administrative Proceedings Challenged as to Constitutionality SEC Claims Against Compliance Officers Policing Manipulative High-Frequency Trading First SEC Action to Enforce Cybersecurity Policies SEC Presses Insider Trading Actions With Mixed Success In Post-Newman Era SEC Charges Private Equity Giant With Misallocating Broken Deal Expenses SEC Brings Enforcement Actions Over “Spoofing” CFTC Brings Action against “Flash Crash”… [read post]
18 Feb 2016, 7:32 am
Grom told a trader to sell 25,000 shares from the bank’s proprietary account. [read post]
18 Feb 2016, 5:00 am
HTG said the traders’ actions caused them significant financial losses and violated Sections 4c and 6(c) of the Commodity Exchange Act.Subsequently, the court ordered CME Group to reveal under seal the identities of the traders so the court could determine if the traders were CBOT members. [read post]
17 Feb 2016, 2:18 am
In giving the lead judgment Lord Hodge stated that, against the background of the other relevant provisions of ICTA, the court concluded that s 103 does not contain an implicit restriction so that the charge to tax on post-cessation receipts falls only on the former trader whose trade was the source of the income. [read post]
16 Feb 2016, 8:53 am
According to Better Markets, U.S. regulators must oversee activity conducted by swaps traders in the U.S. [read post]
12 Feb 2016, 4:54 am
The first is determining exactly what and whom are being protected—the trademark owner against a trader using a confusingly similar mark or the consumer from being deceived? [read post]
11 Feb 2016, 2:00 am
· The duty to refrain from discrimination applies not only to public authorities and private persons performing a public function but also to public and private employers, landlords, traders and service providers (s 12(6)). [read post]
9 Feb 2016, 9:37 am
The following product is subject to recall: • 135-lb. (720 bars) individual paper carton containing 3oz. flow wrapped bars of “Trader Joe’s Uncured Bacon Ganache Bar” (SKU 55001). [read post]
8 Feb 2016, 4:37 pm
Our analysis of these data feed anomalies is ongoing as we attempt to discern whether they were a symptom of the rapid trading that accompanied the Flash Crash or whether they were causal in the sense that they rationally contributed to traders’ decisions to withdraw liquidity and then restore it after the anomalies were resolved. [read post]
7 Feb 2016, 11:48 pm
Under The Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013, business which make contracts off the trader’s premises (or after a meeting off the trader’s premises – for example a viewing of the property) must tell the consumer of their right to cancel the contract within 14 days. [read post]
5 Feb 2016, 1:46 pm
It is often easier for regulators to extract settlements and punishments against smaller market participants, including brokers, traders and analysts, than the giant wire houses, because large companies can match the resources of the Government. [read post]
5 Feb 2016, 6:00 am
The Most Thankless Job on Wall Street Gets a New Worry: Recent enforcement actions find compliance officers personally liable by Emily Glazer in the Wall Street Journal Those officers on Wall Street in charge of ensuring that traders and other employees stay on the right side of laws and regulations are increasingly in the cross hairs themselves. [read post]
