Displaying results 161 - 170 of 200
… system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … report that is considered to have a material impact on investors (to include the presentation of any conflicts) and … report that is considered to have a material impact on investors (to include the presentation of any conflicts) and …
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… how could it be used to the benefit of traders and investors. One way, potentially, that it could be used is to … quote, why can't I just go ahead, have an automatic alert in there. It is 2:58 Eastern Time. I want to sell some … for Wall Street, a magazine called Institutional Investor, had a panel of forty presumed leaders of E-finance …
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… Message and Execution Throttles 2. Volatility Awareness Alerts 3. Self-Trade Controls 4. Price Collars … \31\ See SEC, ``Investor Bulletin: New Measures to Address Market … (Apr. 9, 2013), available at http://www.sec.gov/investor/alerts/circuitbreakersbulletin.htm. …
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… ``controlled access to all of the CFTC's data regarding investor and hedger trading records.'' \172\ This commenter … \172\ CL-USCF-59644 at 3. Data regarding investor and hedger trading records may be protected by … current open swap position.\723\ The indication would alert the exchange to contact the market participant to …
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… oversee the audits of public companies in order to protect investors and the public interest by promoting informative, … provides that JAC members must consider issuing ``risk alerts'' to both FCMs and DSRO examiners on an as needed … JAC stated that the requirement to consider issuing risk alerts to DSRO staff examiners is not necessary and …
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… At the CFTC, under my direction, we are on heightened alert and we welcome your collaboration to the extent you … and systems testing to avoid operational problems and investor harm. It was an unsaid bargain that the U.S. would … approach to ensure that the standards that American investors have come to expect from our financial markets are …
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… metals, and other raw materials, as well as natural person investors. The Commission is committed to the safety and … of the federal securities laws--the protection of investors and the stability of our markets require that … unintended consequences; implementing controls, monitors, alerts and reconciliation processes that enable the firm to …
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… At a minimum, a SEF's systems must be capable of generating alerts on at least a trade date plus one day (T+1) basis to … market participants. These methods will provide hedgers, investors and Main Street businesses both the flexibility to … market participants. These methods will provide hedgers, investors and Main Street businesses both the flexibility to …
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… 2014, the CFTC launched the SmartCheck website. It connects investors to tools to check the registration, license, and … This collection of tools allows the responsible investor to confirm the credentials of investment … history, and stay ahead of scam artists with news and alerts. …
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… vary in degree of sophistication, but typically generate alerts on a trade date plus one day (T+1) basis to help … in the same way to futures, which may be traded by retail investors, as it may be applied to OTC products that are … in the same way to futures, which may be traded by retail investors, as it may be applied to OTC products that are …
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