Displaying results 151 - 160 of 206
Keynote Address of Commissioner Dawn D. Stump: Back to the Future – The Year 1999
… 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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2023-28532
…     \40\ Funding by investors for a mitigation project or activity  could begin as early as the planning stage. Early investors may  enter into agreements with a project … In June  2023, the CFTC's Whistleblower Office issued an alert notifying the  public on how to identify and report …
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Remarks of Daniel Gorfine Regarding DLT and the Next Generation of Computing Infrastructure, Finovate, NYC
… 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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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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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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2023-24774
… 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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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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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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