Search for: "US Trade and Exchange, LLC"
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22 Nov 2023, 11:08 am
While some independent contractors hold themselves out as individuals, many individuals operating as limited liability companies (LLCs) or under trade names do not disclose that they are actually only single-individual operations. [read post]
20 Nov 2023, 9:01 pm
Consequently, the redemption payment had no direct effect on BLMIS in the US. [read post]
15 Nov 2023, 6:26 am
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
13 Nov 2023, 1:01 pm
The attorneys specializing in FINRA arbitration at The White Law Group have successfully managed more than 700 FINRA arbitration claims, addressing issues such as unauthorized trading, unsuitable investments, fraud, negligence, churning/excessive trading, and improper use of margin. [read post]
9 Nov 2023, 9:01 pm
At the time, each Commissioner had three counsels and, in our office, each one of us handled a third of the Enforcement recommendations. [read post]
8 Nov 2023, 10:14 pm
What are Exchange-Traded Funds (ETFs)? [read post]
7 Nov 2023, 8:37 am
Algorithmic Trading: Using Regulatory Notice 15-09 guidance to inform surveillance programs for firms engaged in algorithmic trading. [read post]
3 Nov 2023, 10:39 am
The White Law Group’s FINRA arbitration attorneys have handled over 700 FINRA arbitration claims involving unauthorized trading, unsuitable investments, fraud, negligence, churning/excessive trading, and improper use of margin. [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]
2 Nov 2023, 6:36 am
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
1 Nov 2023, 9:01 pm
As we shared in our last QCC, the Japan Fair Trade Commission recently charged six companies and seven individuals with bid rigging in connection with the 2021 Olympics. [read post]
1 Nov 2023, 11:41 am
Freeport, like Masterworks, do not tokenize the objects themselves; Rather, they set up series LLC who acquires an artwork, via affiliated Freeport Curation LLC, which then becomes the series LLC’s primary asset and subject to investment under Tier 2 Regulation A of the Securities Act.[16] The tokens registered on the blockchain are just a corresponding visual representation of the ownership interest to a particular series, not conferring any rights that the share… [read post]
27 Oct 2023, 10:41 am
Rule 2010 (Standards of Commercial Honor and Principles of Trade) and Rule 2020 (Use of Manipulative, Deceptive, or Other Fraudulent Devices). [read post]
26 Oct 2023, 12:50 pm
Searching their history on sources such as FINRA BrokerCheck is also a useful tool as it provides a more in-depth analysis of a broker’s history. [read post]
24 Oct 2023, 9:01 pm
This past fiscal year, the Commission brought a number of actions charging firms for using employment agreements that expressly violated the plain language of the rule in various ways, including by: requiring employees to attest that they had not filed a complaint against the company with any federal agency;[7] or requiring employees to waive their rights to financial whistleblower awards;[8] or requiring departing former employees to provide notice to the company if they received a request… [read post]
20 Oct 2023, 2:40 pm
This rule also introduces standardized reporting metrics to be used by private funds. [read post]
20 Oct 2023, 8:33 am
Securities and Exchange Commission to challenge a ruling from the D.C. [read post]
11 Oct 2023, 11:17 am
Truck Insurance Exchange was the sole objector to the plan. [read post]
11 Oct 2023, 8:21 am
UBS Securities, LLC, in which the court was asked to consider whether publicly traded companies can discriminate against employees who report wrongdoing within the company. [read post]
