Search for: "CFTC, et al v. Lee, et al"
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27 Jun 2011, 7:53 am
Walsh et al., June 20, 2011 [read post]
24 Aug 2022, 9:01 pm
On March 4, 2021, then-acting SEC Chair, Allison Herren Lee was the first to act among federal regulators when she announced the creation of a new Climate and ESG Task Force in the SEC Division of Enforcement, with the stated purpose of developing “initiatives to proactively identify ESG-related misconduct. [read post]
28 Nov 2011, 8:57 pm
CFTC Rule 1.20 holds that customer funds are to be segregated and separately accounted for. [read post]
14 Mar 2016, 2:56 am
In Hantz Financial Services, Inc. v. [read post]
