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28 Oct 2015, 10:52 am
The press release highlighted several other significant areas: Ensuring exchanges, traders and other market participants operated fairly Uncovering misconduct by investment advisers and investment companies Cracking down on misconduct involving complex financial instruments Combating foreign corrupt practices Standing up for whistleblowers Demanding admissions in important cases enhancing public accountability Looking forward, Director of Enforcement Andrew Ceresney stated that the SEC… [read post]
5 Dec 2010, 6:00 am
First Derivative Traders (2009), the Fourth Circuit addressed the question of whether a company may have primary liability under the federal securities laws even if the alleged misstatements that are the basis for the violation are explicitly attributed to another company. [read post]
10 Aug 2011, 9:37 am
Prosecutors accused him of trading on inside information from corporate executives, traders and others, resulting in $63.8 million of illegal profit. [read post]
24 Apr 2012, 8:12 am
The rules are designed to enable institutional traders to continue to execute large orders with minimal market impact, while ensuring investors with smaller orders receive meaningful price improvement when they trade with dark orders. [read post]
26 Dec 2012, 6:50 am
Sunland’s troubles started in September, when the FDA issued a limited recall of certain batches of Trader Joe’s brand Valencia Creamy Salted Peanut Butter Made With Sea Salt. [read post]
14 Feb 2010, 10:24 am
In the 1980’s, derivatives traders at Salomon Brothers engineered a foreign currency swap. [read post]
23 Dec 2011, 8:57 am
The states’ investigation developed evidence that certain traders at GE Funding, in concert with certain brokers, engaged in conduct that allowed the broker to determine in advance that GE Funding would win a bid for a guaranteed investment contract. [read post]
9 Feb 2012, 8:57 am
Much of this information is public in the sense that citizens who want it can get it, but it may not be widely known to traders in securities markets. [read post]
16 Oct 2008, 4:29 am
I am a free trader. [read post]
8 May 2012, 6:46 pm
The traders—merger-minded consultants and recruiters—would have episodic data, again closely held. [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]
10 May 2022, 9:03 pm
Even retailers that promote healthier foods, such as Trader Joe’s, Cava and Sweetgreen, had food packaging that contained troubling PFAS levels. [read post]
22 Jun 2007, 4:18 pm
The Times reports that traders in Islamabad have offered £150,000 to ‘anyone who killed Rushdie’. [read post]
31 Aug 2012, 6:00 am
You could apply for an H-1B non-immigrant visa; an L1, Intra-Company Transferee visa; possibly an E1, Treaty Trader visa or an E2, Treaty Investor visa, an E3 Australian visa, or a TN visa, etc. [read post]
22 Nov 2009, 10:30 pm
While that may bolster your spirits, reality says we still have a near record crop and demand remains driven by a weak economy, weak energy prices, and traders that are already long in owning corn futures. [read post]
28 Nov 2012, 6:53 pm
Even though for some reason bond traders aren't. [read post]
26 May 2022, 10:00 am
Industry is seeking clear, objective compliance rules, including, among other measures: A comprehensive list of entities tied to the XUAR, developed transparently with input from stakeholders Clear procedures for responding to US Customs detentions under the Act, including the type of documentation needed to prove the materials or products are not connected to forced labor Bright line due diligence standards, including use of accredited third party supply chain auditors to verify traceability… [read post]
3 Sep 2011, 2:34 pm
: Earlier I called it Infectious Greed--but that is Frank Partnoy's fine book about his life as a trader. [read post]
15 Oct 2007, 2:59 pm
Feelings: Hollywood Reporter examines consumer perception of buying fakesGet down: Counterfeit sales on the riseTestify: J Shoes says niche designers threatened more by knockoffs than fakesReport from the front: Music, fashion losing piracy battleMissing the mark: Target logo faces challenges in UK and EuropeTriple threat: Tri-Border region fakes finance terrorismRochester vice: A look at local anti-counterfeiting law enforcementNo joke: Poland's burgeoning counterfeit… [read post]
14 Jul 2008, 3:30 pm
The plaintiffs argued that “it is illogical to suggest that the fraud-on-the-market theory applies within the United States but not outside of it, because if securities reacted to information only within the United States, global traders would take advantage of the price differential and buy on one exchange and sell on another. [read post]
