Search for: "US Trade and Exchange, LLC"
Results 1281 - 1300
of 1,700
Sort by Relevance
|
Sort by Date
27 Feb 2012, 1:16 pm
For example, exchange-traded funds (ETFs) that employ optimization strategies using synthetic derivatives can expose individual investors to the risk of significant tracking errors. [read post]
27 Feb 2012, 1:16 pm
For example, exchange-traded funds (ETFs) that employ optimization strategies using synthetic derivatives can expose individual investors to the risk of significant tracking errors. [read post]
27 Feb 2012, 10:59 am
American Master Lease LLC, __ F.3d __ (Fed.Cir. 2012)(Judge Prost joined by Judges Schall and Moore. [read post]
25 Feb 2012, 3:13 pm
Private REITs, like their non-traded counterparts, are not traded on an exchange. [read post]
18 Feb 2012, 5:15 am
Such funds are covered by the Securities Exchange Act (1934 Act) and are required to file disclosures with the Securities and Exchange Commission (SEC), just like other publicly traded companies. [read post]
17 Feb 2012, 12:57 am
I’ve spent my career mainly as a transactional practitioner, a trade that doesn’t require deep immersion in legal doctrine. [read post]
16 Feb 2012, 1:03 pm
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
16 Feb 2012, 10:03 am
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
14 Feb 2012, 12:39 pm
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
13 Feb 2012, 9:44 am
Whitman used that information to execute trades that earned Whitman Capital LLC more than $900,000 in illegal profits. [read post]
10 Feb 2012, 1:25 pm
Complex Exchange-Traded Products Not surprisingly, exchange-traded products that use complex strategies or enter exotic markets may expose investors to impossible-to-predict risks. [read post]
10 Feb 2012, 5:45 am
District Court for the District of Columbia, alleging that the transaction as originally proposed would have substantially lessened competition for displayed equities trading services, listing services for exchange-traded products, including exchange-traded funds, and real-time proprietary equity data products in the United States. [read post]
9 Feb 2012, 7:26 am
Editor’s Note: The following post comes to us from Allen M. [read post]
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
31 Jan 2012, 5:48 pm
In their efforts to move forward with rulemaking for over-the-counter derivatives, some are saying that the Commodities Futures Trading Commission and the Securities and Exchange Commission may find themselves grappling with differences that could pose a challenge for industry participants. [read post]
31 Jan 2012, 6:54 am
Accordingly, we are encouraging investors that would like to pursue their claims against David Lerner to contact us as soon as possible to discuss their legal rights. [read post]
27 Jan 2012, 8:45 am
California’s Cap-and-Trade Program (Todd Maiden, San Francisco) In October 2011, the California Air Resources Board approved final regulations implementing a “cap-and-trade” program under the state’s climate law (more commonly referred to by its legislative bill number, “AB 32”). [read post]
27 Jan 2012, 7:21 am
The Securities and Exchange Commission ("SEC") has charged Fort Lauderdale-based First Resource Group LLC ("First Resource") and its principal, David Stern ("Stern") of Tamarac, Florida, with running a boiler room stock scheme. [read post]
18 Jan 2012, 2:40 pm
The seven defendants who exchanged information regarding Dell are: • investment analyst Sandeep ""Sandy" Goyal, who obtained Dell quarterly earnings information and other performance data from an insider at Dell before earnings announcements in 2008; • analyst Jesse Tortora of Diamondback Capital Management LLC ("Diamondback"), who was tipped by Mr. [read post]
18 Jan 2012, 3:57 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 Jan 2012, 1:57 pm
” Op. at 9, citing Centennial Broad., LLC v. [read post]
