Displaying results 171 - 180 of 206
… 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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… 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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… 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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… 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 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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… 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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… effectively a tax on other market participants, especially investors who trade on open, public exchanges'''). … made available to trade, the clearing determination would alert market participants to the fact that specific classes … effectively a tax on other market participants, especially investors who trade on open, public exchanges'''). …
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… 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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… 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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… 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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