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10 Aug 2020, 4:00 am
In addition to the FINRA findings, the customer paid $18,047 in commissions and fees to Mr. [read post]
19 Aug 2014, 4:34 am
Wyoming Oil and Gas Conservation Commission, the Wyoming Supreme Court held that the Wyoming Oil and Gas Conservation Commission has the burden of justifying the use of trade secrets exemption from revealing the contents of hydraulic fracturing chemicals. [read post]
18 Sep 2023, 2:00 am
” FTC Promises More Scrutiny of Orange Book Listings The stated goal of the policy statement is “to put market participants on notice that the FTC intends to scrutinize improper Orange Book listings to determine whether these constitute unfair methods of competition in violation of Section 5 of the Federal Trade Commission Act. [read post]
19 May 2011, 9:15 am
” The Commission cited, among others, the Federal Circuit’s decisions in Riverwood Int’l Corp. v. [read post]
28 Sep 2022, 8:06 am
Separately, the Commodity Futures Trading Commission announced settlements with the firms for related conduct. [read post]
30 Oct 2019, 11:19 am
Under the bill, so-called “managed stablecoins” would conclusively be deemed securities for purposes of the federal securities laws. [read post]
13 Jul 2008, 7:41 am
Federal Trade Commission v. [read post]
20 Apr 2010, 2:31 pm
The latest arrest concerns a former Societe Generale trader who was being detained Tuesday on New York federal court charges of stealing the computer code of the Paris-based banking concern’s high-frequency trading software. [read post]
7 Feb 2013, 12:52 pm
The Federal Trade Commission (FTC) announced a potentially groundbreaking settlement with the social networking app Path and released an important new staff report on Mobile Privacy Disclosures late last week. [read post]
27 Nov 2013, 3:34 pm
And the Commission believes that the Federal Trade Commission needs to take a more proactive role in investigating whether companies are living up to their Safe Harbor commitments. [read post]
24 Apr 2012, 6:46 am
The financial industry challenged the CFTC regulation in federal court, claiming that Congress never meant for the trading limits to prevent excessive speculation to be mandatory. [read post]
14 Feb 2024, 10:39 am
On February 6, 2024, by a 3-2 vote, the US Securities and Exchange Commission adopted new rules that expand the definition of “dealer” under the federal securities laws. [read post]
7 Jul 2022, 11:30 am
Also, its legislative history refers to the Bureau’s antidiscrimination authority in the context of ECOA and HMDA, while referring to the Bureau’s UDAAP authority separately.The CFPB’s treatment of “unfairness” is inconsistent with decades of understanding and usage of that term in the Federal Trade Commission Act and with the enactment of ECOA. [read post]
1 Feb 2019, 4:00 am
According to the SEC, the men used the stolen data to make trades. [read post]
10 Jul 2023, 6:47 am
According to the Commission, other traders who allegedly received non-public information from either Kaplan or Feldman saw profits of an additional $1.7 million.The SEC charged all five defendants with violating the antifraud and tender offer provisions of the federal securities laws. [read post]
3 Nov 2023, 6:55 am
By Suzanne CosgroveKalshiEX LLC, a regulated designated contract market that offers event contracts, sued the Commodity Futures Trading Commission in federal court Wednesday, challenging the Commission’s September 2023 order that prohibits Kalshi from listing its controversial Congressional Control Contracts (KalshiEX LLC v. [read post]
21 Oct 2011, 9:46 am
The Securities and Exchange Commission, also part of the joint rulemaking, signed off on the proposal at an Oct. 12 open meeting. [read post]
9 Dec 2011, 8:56 pm
International Trade Commission. [read post]
26 Feb 2015, 9:28 am
The Court articulated a quartet of features of the Federal Trade Commission’s statutory design that ostensibly justified the Commission’s constitutional independence. [read post]
7 Jun 2011, 2:10 pm
Better late than never, the Federal Trade Commission offered some words of wisdom to the Federal Energy Regulatory Commission when it comes to merger review. [read post]
