CFTC Files Complaint Charging Daniel Shak of Las Vegas with Violating a CFTC Order Settling Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts
The CFTC's Division of Market Oversight issued an extension of no-action letter 13-86, which provided relief in connection with certain CDS trades executed pursuant to ...
CFTC Orders Fan Zhang to Pay $250,000 for Engaging in Fictitious Sales and Noncompetitive, Prearranged Trades on CME and CBOT
CFTC Charges Illinois Resident Gerald J. Considine and His Companies, Novo Trading and Considine Trading, with Fraudulent Solicitation and Misappropriating More than $1.65 Million of ...
CFTC Charges Florida-Based Inter-Global Currency & Precious Metals LLC and Stavros Papastavrou with Engaging in Illegal, Off-Exchange Precious Metals Transactions
This title shall become effective on November 1, 1940. Legislative History Aug. 22, 1940, ch 686, Title II, 221, 54 Stat. 857
This title may be cited as the "Investment Advisers Act of 1940". Legislative History Aug. 22, 1940, ch 686, Title II, 220, 54 Stat. 857
The Investment Advisers Act of 1940Section 212 -- Hearings Hearings may be public and may be held before the Commission, any member or members thereof, ...
The Investment Advisers Act of 1940Section 219 -- Separability of ProvisionsIf any provision of this title or the application of such provision to any person ...
The Investment Advisers Act of 1940Section 207 -- Material MisstatementsIt shall be unlawful for any person willfully to make any untrue statement of a material ...