Search for: "US Trade and Exchange, LLC"
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1 Mar 2016, 3:14 am
for various marketing and advertising services].March 1, 2016 - 9:20 AM [University of Missouri School of Law, Columbia, Missouri]: In re Chicago Mercantile Exchange Inc., Serial No. 77199918 [Refusal to register CHI for "Investment services, namely, providing futures, options contracts related to hurricanes for trading on an exchange" on the ground that applicant's specimen of use fails to show trademark use].March 4, 2016 - 11:20 AM… [read post]
29 Feb 2016, 1:13 pm
© 2016 Vandenack Williams LLC For more information, Contact Us [read post]
29 Feb 2016, 9:56 am
Commodity Futures Trading Commission (“CFTC”), which recently issued an order finding that bitcoin are a commodity covered by the Commodity Exchange Act. [read post]
26 Feb 2016, 2:39 pm
According to the report, the proposal’s treatment of enumerated hedges would curb some commonly used trading strategies, including spread trades, synthetic storage, and cross hedges. [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]
22 Feb 2016, 4:36 pm
Courts have held that the scope of liability under section 10(b)(5) is broad, and it has been used against a wide range of behaviors from misleading statements in company filings and documents to insider trading and market manipulation cases. [read post]
18 Feb 2016, 12:58 pm
QED’s goal was to select investments that would outperform the market using that strategy. [read post]
18 Feb 2016, 5:53 am
Our firm represents securities investors in claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
16 Feb 2016, 4:50 pm
Background The Carlyle Group is the trade name of a global private equity firm. [read post]
10 Feb 2016, 12:42 pm
Int’l Trade Comm’n, 180 F.3d1354, 1366 (Fed. [read post]
9 Feb 2016, 5:00 am
New areas of focus include exchange-traded funds (“ETFs”) which OCIE intends to examine for compliance with various regulatory requirements. [read post]
5 Feb 2016, 6:15 am
Our firm is investigating potential securities claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]
3 Feb 2016, 7:27 am
As a result of his conduct, King willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and violated NASD Rule 2120 and FINRA Rule 2020. [read post]
2 Feb 2016, 8:42 am
Wilson and his company JBW Capital solicited over $2 million from 25 family members and acquaintances and used the funds to trade commodity futures. [read post]
31 Jan 2016, 1:43 pm
For example, Barclays represented that it “utilize[d] direct feeds from exchanges to deter latency arbitrage” when in fact Barclays used a combination of direct data feeds and other, slower feeds in the dark pool. [read post]
28 Jan 2016, 11:46 am
They will reimburse investors $2.877 million in losses.According to the SEC’s order instituting a settled administrative proceeding, QED Benchmark Management LLC and its founder/fund manager Peter Kuperman avoided disclosing heavy trading losses to investors by using a misleading mixture of hypothetical and actual returns when providing the fund’s performance history. [read post]
26 Jan 2016, 5:00 am
The notional trading value takes into account both the amount invested and the amount of leverage used in the underlying investments, and is significantly higher than net asset value. [read post]
19 Jan 2016, 2:15 pm
NAREIT argued that the modern reality of REITs with tens of thousands of shareholders, trading shares on major stock exchanges, justifies giving REITs the same treatment as corporations, with citizenship depending on the state under which the trust is organized (in this case, Maryland). [read post]
19 Jan 2016, 9:53 am
But Equinox actually used the notional trading value of the assets, which is the total amount invested including leverage. [read post]
19 Jan 2016, 6:00 am
AlphaSector consisted of an algorithm-based sector rotation strategy which traded nine industry exchange-traded funds from the S&P 500 Index. [read post]
