Displaying results 161 - 170 of 206
… 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 …
Created on:
… 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 …
Created on:
… 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 …
Created on:
… 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 …
Created on:
… 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 …
Created on:
… 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. …
Created on:
… ``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 …
Created on:
… 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 …
Created on:
… 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 …
Created on:
… 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 …
Created on: