Search for: "US Trade and Exchange, LLC"
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Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Securities and Exchange Commission (“SEC”) that materially misstated the nature and scope of BLMIS’s Investment Advisory (“IA”) business. [read post]
4 Jul 2011, 9:54 pm
" James Armstrong of Traders Magazine describes the billions of dollars going to hedge funds in recent months as a catalyst to "increased trading volumes for the equities trading business. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
22 Feb 2023, 1:07 pm
Disclosure is limited even for the two well-known, publicly traded litigation fund managers, Burford Capital and Omni Bridgeway; it is sparser still—and highly self-selective—for all the private funds involved. [read post]
4 Dec 2018, 11:32 am
Meantime, the US Securities and Exchange Commission’s parallel enforcement action against Kitts is still pending. [read post]
3 Jun 2018, 2:18 pm
Securities and Exchange Commission (SEC) (which issued, on March 7, 2018, its own broad and sweeping statement about the dangers potential illegalities of exchange like crypto-trading facilities). [read post]
19 Nov 2007, 3:17 am
Here is how the court explained what happened:[Richard] Kirby owned a small business, Global Exchange Holding, LLC. . . . [read post]
9 Jun 2024, 9:16 pm
Author: Luis Blanquez We recently wrote about the Federal Trade Commission’s blog post explaining how relying on a common algorithm to determine your pricing decisions might violate Section 1 of the Sherman Act. [read post]
24 Oct 2019, 2:40 pm
We regulate the offering of that security and we regulate the trading of that security. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
28 Sep 2023, 1:25 pm
According to the SEC, Perera and Janues used at least $3.57 million of the investor’s $4.3 million funds to engage in highly speculative, leveraged trading, and ultimately misappropriated at least $3.3 million. [read post]
28 Sep 2023, 1:25 pm
According to the SEC, Perera and Janues used at least $3.57 million of the investor’s $4.3 million funds to engage in highly speculative, leveraged trading, and ultimately misappropriated at least $3.3 million. [read post]
28 Sep 2023, 1:25 pm
According to the SEC, Perera and Janues used at least $3.57 million of the investor’s $4.3 million funds to engage in highly speculative, leveraged trading, and ultimately misappropriated at least $3.3 million. [read post]
30 Oct 2013, 8:00 am
Section 806, captioned “Whistleblower protection for employees of publicly traded companies,” spelled out an anti-retaliation provision applicable to publicly traded companies or firms with stock traded on national exchanges. [read post]
17 Jun 2024, 9:05 pm
The cost of using a central counterparty can also be expensive from a margining perspective compared with many firms’ bilateral collateral exchanges. [read post]
30 May 2008, 9:09 am
: (Spicy IP), India: DCGI preparing document to implement patent-registration linkage: (Spicy IP), New Zealand: Generic pharmaceutical companies taking advantage of NZ IP laws and medicines regulations: (International Law Office), Uganda: Cipla licenses ARV technology into Uganda: (Afro-IP), US: Money saved through generic prescriptions: (GenericsWeb), US: Government plans to keep close tab on drug patent settlements: (GenericsWeb), US: FTC reports 14 deals to delay… [read post]
7 Apr 2011, 8:09 am
For more information on a subscription to footnotedPro, contact us at pro@footnoted.com. [read post]
2 May 2012, 5:52 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
11 Oct 2018, 10:00 am
However, sometimes there are bumps along the way and, if you have no other assets, that’s where you’ll go at a high price. 401(k)s have limited investment options and you’re typically limited to mutual funds and sometimes to Exchange-Traded Funds (EFTs). [read post]
22 Jul 2008, 12:31 pm
In some cases, the agreement will also prohibit the seller from using certain confidential trade secrets or business processes that are being transferred to the buyer. [read post]
