Search for: "US Trade and Exchange, LLC"
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20 Jul 2021, 6:17 am
UBS hit with $8 Million for Unsuitable Sales of VXX Fund According to the US Securities and Exchange Commission on July 19, the regulator has charged the brokerage arm of UBS Group AG (UBSG.S) with regulatory failures in connection with the sales of a volatility-linked, exchange-traded product, called the iPath S&P 500 VIX Short-Term Futures ETN. [read post]
5 Oct 2016, 7:24 am
Durante engaged in insider trading of the VGTel stock and bribed other investment advisers to steer clients toward VGTel stock purchases.The SEC’s complaint charges Durante with violating Section 17(a) of the Securities Act of 1933 and Sections 9(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [read post]
16 May 2022, 3:27 am
"] In re Milstead Technologies, LLC, Serial No. 88933287 (May 10, 2022) [not precedential] (Opinion by Judge Angela Lykos). [read post]
9 Jan 2018, 7:08 am
Specifically, last summer it granted LedgerX LLC’s application to register as a swap exchange facility and a derivatives clearing organization to trade and clear options on bitcoin, among other things. [read post]
2 Feb 2018, 7:11 am
(CME) and the CBOE Futures Exchange, LLC over the self-certification and listing of Bitcoin related futures products in early December, 2017. [read post]
11 Apr 2009, 7:48 am
Rather, some of it was used to buy off-exchange currencies and on-exchange futures. [read post]
21 Feb 2023, 7:04 am
To schedule a free and confidential consultation with an experienced lawyer at Zamansky LLC, please call 212-742-1414 or send us your contact information online today. [read post]
21 May 2013, 10:00 am
FMR, LLC. [read post]
27 Sep 2016, 6:44 am
On July 18, 2016, the Securities and Exchange Commission (“SEC”) settled charges against two SEC-registered investment advisers (“investment advisers”). [read post]
27 Sep 2016, 6:44 am
On July 18, 2016, the Securities and Exchange Commission (“SEC”) settled charges against two SEC-registered investment advisers (“investment advisers”). [read post]
24 Oct 2022, 6:31 am
Introduction Pay Governance LLC provides counsel and advice to the Board of Directors’ Compensation Committees of more than 400 prominent publicly-traded companies. [read post]
19 Feb 2023, 9:01 pm
The SEC’s allegation that they violated Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 requires the tokens traded to be “securities. [read post]
27 Oct 2021, 8:07 am
For World Investor Week, the SEC published an article titled Taking Stock in Teen Trading that, “speaks directly to parents and teens about . . . topics such as teen trading accounts, social media influence, and apps. [read post]
24 May 2016, 8:12 am
Summary The Supreme Court has unanimously dismissed the appeal in PST Energy 7 Shipping LLC & Anor v O.W. [read post]
3 Jul 2020, 6:43 am
Tax benefits on assignment of NPLS In relation to transfers of non-performing loans (“NPLs“) for consideration made before 31 December 2020, a company may convert into tax credits the amount of deferred tax assets relating to (i) tax losses not yet used to decrease the taxable income at the date of the transfer; or (ii) the Notional Interest Deduction (Aiuto alla crescita economica) still available at the date of the transfer. [read post]
26 Feb 2020, 12:12 pm
We expect to see continued activity at the federal legislative level to attempt to ban or limit the use of non-competes. 2. [read post]
17 May 2022, 12:30 pm
LLC (AGI US) and three former senior portfolio managers with a major fraudulent scheme that hid the immense downside risks of a complex options trading strategy they called “Structured Alpha. [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
22 Jul 2021, 6:15 am
According to the Bureau of Securities order, BlockFi, through its affiliates BlockFi Lending, LLC and BlockFi Trading, LLC, funded its cryptocurrency lending operations and proprietary trading business in part through the sale of unregistered securities in violation of the New Jersey Securities Law. [read post]
