Search for: "US Trade and Exchange, LLC"
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26 Sep 2023, 2:30 pm
Opinions and analysis on scope and validity of your own patents likely do not qualify as trade secrets, even if useful to competitors. [read post]
25 Sep 2023, 5:15 am
By Suzanne CosgroveThe CFTC has disapproved KalshiEX LLC’s Congressional Control Contracts, prohibiting their listing, trading and clearing on its platform. [read post]
21 Sep 2023, 9:01 pm
Hess highlighted use cases for decentralized finance such as performing innovative anti-money laundering verifications and evaluating potential adaptations of current Securities and Exchange Commission and Commodity Futures Trading Commission rules. [read post]
13 Sep 2023, 6:06 am
To determine whether the trading is excessive considering the goals of the account, the most often used analysis is the calculation of a “turnover ratio”. [read post]
8 Sep 2023, 12:51 pm
Between May 2019 and December 2019, Hoffman allegedly advised clients to invest in Zima Global Ventures, LLC, a company claiming to trade cryptocurrencies and digital assets for profit. [read post]
6 Sep 2023, 9:01 pm
CAT LLC will adjust the applicable fee rate twice a year. [read post]
5 Sep 2023, 9:05 pm
Supreme Court next term of Securities and Exchange Commission v. [read post]
5 Sep 2023, 4:47 am
” Fontem US, LLC v. [read post]
30 Aug 2023, 5:45 am
From managing cross-border transactions to mitigating potential risks associated with global trade, they adeptly handle every facet related to overseas operations. [read post]
30 Aug 2023, 5:03 am
Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, used this hypothetical performance in its advertisements. [read post]
28 Aug 2023, 9:01 pm
This post comes to us from Davis, Polk & Wardwell LLP. [read post]
27 Aug 2023, 7:49 pm
From June 2019 through May 2022, Liddle purportedly misappropriated the money from clients of Prosper Wealth Management, LLC (“PWM”), an investment adviser which he controlled. [read post]
24 Aug 2023, 8:57 am
” See: KBS REIT III Suspends “Ordinary Redemptions” Non-Traded REITs – Complex Investment Products Non-traded REITs are complex investment products. do not trade on a public exchange like traditional stocks. [read post]
21 Aug 2023, 8:12 am
The Securities and Exchange Commission charged Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. [read post]
16 Aug 2023, 9:04 am
LJM used a risky strategy that relied, in part, on purchasing uncovered options. [read post]
16 Aug 2023, 8:31 am
Non-traded BDCs: Like REITs, non-traded Business Development Companies do not trade on an exchange, making them more complex and riskier than investments that trade on a public exchange. [read post]
14 Aug 2023, 8:45 am
LLCs; Other similar U.S. entities, such as limited partnerships and business trusts/statutory trusts; and Non-U.S. corporations, LLCs and other similar entities that are registered to do business in the United States. [read post]
14 Aug 2023, 8:45 am
LLCs; Other similar U.S. entities, such as limited partnerships and business trusts/statutory trusts; and Non-U.S. corporations, LLCs and other similar entities that are registered to do business in the United States. [read post]
14 Aug 2023, 2:11 am
According to a cease-and-desist order, Royal Alliance allegedly failed to supervise unsuitable investments in volatility-linked exchange traded products. [read post]
11 Aug 2023, 12:49 pm
It is responsible for overseeing the activities of brokerage firms, and for enforcing rules and regulations related to the trading of securities. [read post]
