Trunz spoofed thousands of trades while employed at two New York banks
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you ...
Promised pool participants 8%-20% returns, lost $1.4 million
(a) A registered closed-end company may purchase for cash a security of which it is the issuer, subject to the following conditions: (1) If the ...
RELEASE Number 8052-19 October 15, 2019 Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
(a) For the purposes only of section 5 of the Act, a notice, circular, advertisement, letter, sign, or other communication, published or transmitted to any ...
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
This final rule provides an exemption from registration for CPOs and CTAs of family offices
The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...