Displaying results 151 - 160 of 200
Written Testimony of Daniel S. Gorfine before the U.S. House Committee on Agriculture
… 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 . [19] William Hinman, …
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2012-1244
… appropriate in the public interest, for the protection of investors and in furtherance of the purposes of the CEA.\9\ … appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of … APGA Feb. 22 Letter, at 5 (providing market color and alerting a Special Entity to a possible strategy or to new …
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2013-12242
… of a transaction. Such transparency lowers costs for investors, consumers, and businesses; lowers the risks of … surveillance system must have the capability to generate alerts on a trade date plus one day (T+1) basis to assist … market. OTC markets are thus said to be relatively opaque; investors are somewhat in the dark about the most attractive …
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Statement of Commissioner Dawn D. Stump in Support of Final Uncleared Margin Rules Based on Recommendations of Global Markets Advisory Committee
… a significant operational challenge for institutional investors that typically hire asset managers to exercise … to fail to fulfill its intended purpose, I urge them to alert the Commission so that it can consider appropriate …
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2013-30978
… Authority (``FINMA''). FINMA protects creditors, investors, and policy holders, ensuring the smooth … system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … Authority (``FINMA''). FINMA protects creditors, investors, and policy holders, ensuring the smooth …
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Keynote Address of Chairman Rostin Behnam at the ABA Business Law Section Derivatives & Futures Law Committee Winter Meeting
… recall it as a period of time that put the CFTC on highest alert….” [3]   2022 gave the agency an opportunity to … commodity pools.  I am increasingly concerned that many investors are not receiving the full protections of Part 4 … Memorandums and other publications distributed to potential investors, I am interested in establishing a threshold level …
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Remarks of Chairman J. Christopher Giancarlo to the ABA Derivatives and Futures Section Conference
… opportunities and challenges for regulators. The CFTC has alerted the public to the considerable risks of virtual … trading, false disclosure, Ponzi schemes and other forms of investor fraud and market manipulation. Indeed, as a … price – wherever the market assigns it – is reflective of investors making informed decisions, free of fraud and …
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2012-26435
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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2012-26435
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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2012-26435
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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