The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018. The Commission’s annual report card on its enforcement ...
Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year ...
The life of Pennant Management, a Wisconsin advisory firm, would run 20 years. It may have continued if only its leader listened to its CCO, ...
Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, please. ...
When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it ...
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets that ...
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register ...
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...
Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight. The ...
September 2020 may seem way off but the CFTC’s chief economist warns regulators must prepare for that date when Phase 5 of the agency’s swaps ...