Displaying results 141 - 150 of 200
… solicitations and phony excuses for their failure to return investor funds. In addition to the fraud violations charged, … Foreign Currency Trading (Forex) Fraud Advisory , which alert customers these types of fraud and list simple ways to …
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… also essential that we ensure fair and orderly markets for investors and hedgers looking to minimize risk. Immediately … shouldn’t be confused with yield signs. They are a way to alert the exchanges of growing positions. Nearly 70 parties …
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… even call it news—has been blurred to red-alert levels. It is a shame. I’ve seen 25-plus years in … that HFT trading imposes quantifiable costs on small investors. This could end up pushing smaller, non-HFT … to prevent another major flash crash. We could have a red alert flash crash this afternoon. By the way, HFTs aren’t …
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… Investment Company Act of 1940 \63\ and hold itself out to investors as a MMF in accordance with SEC Rule 2a-7; \64\ … Investment an MMF must be legally obligated to pay a fund investor (including an FCM) by the close of business on the … filed with CME and/or NFA.\275\ Under these programs, an alert is generated for discrepancies that exceed defined …
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… The CFTC has sufficient authority under the CEA to protect investors in virtual currency derivatives over which the … authority) over cash commodity markets. IV. Educating Investors and Market Participants The CFTC believes that the … Persons (AARP) to distribute a virtual currency “Watchdog Alert” to 120,000 AARP members; • North American Securities …
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… U.S. IB customers are required to provide disclosures to alert U.S. customers to the risks of trading in foreign … Caroline D. Pham on Staff Letter Regarding ADM Investor Services, Inc. (June 16, 2023), …
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… withdrawal of customer initial margin, and JAC Regulatory Alert #19-02 reminding FCMs of those requirements,\23\ … in CEA, there are potential costs to individual investors of the Margin Adequacy Requirement. In general, … the rules concerning margins can reduce the return to investors, and some effects of this type could result from …
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… is often hard to come by. This is a dilemma facing every investor as well as those who harbor the related risks. But … ; Customer Advisory: Be on Alert for Frauds Seeking to Profit from Market Volatility … s://www.cftc.gov/LearnAndProtect/AdvisoriesAndArticles/fraud_alert_profit_from_market_volatility_covid_19.htm . [14] See …
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… web site, that article about the cheetah disappeared. I was alerted to this by two reporters who were fact-checking my … ongoing need for preventative care by regulators to protect investors, hedgers and yes, most importantly consumers. I’ve …
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… available at https://www.howeycoins.com/index.html ; Investor Bulletin: Initial Coin Offerings, Securities and … Commission (July 25, 2017). https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_coinofferings . [21] William Hinman, …
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