Displaying results 1 - 10 of 37
… in the public interest and for the protection of investors, or for the assessment of systemic risk in the … (6) side arrangements or side letters, whereby certain investors in a fund obtain more favorable rights or … result in [[Page 22239]] FSOC and the Commissions being alerted in a less timely manner to certain events that may …
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… COMMODITY FUTURES TRADING COMMISSION Public Alert--Registration Deficient List AGENCY: Commodity Futures … this information publicly available, the Commission expects investors to make more informed decisions whether to trade with or through such an entity. The more U.S. investors trade with and through registered entities, the …
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… custodial accounts and investment companies that enable investors to make wire transfers to other parties or that … on a deferred basis, if they do not ``advance'' funds to investors and clients.\43\ … Alerts, notifications, or other warnings received from …
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… QEPs, such natural persons must meet the ``accredited investor'' definition adopted by the Securities and … net worth or joint net worth tests within the ``accredited investor'' definition; (9) natural persons who would … this discussion, the SEC and CFTC released a joint investor alert to investors thinking about investing in a fund with …
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… comment letters from various interested parties, including investor advocacy groups, trade associations, and financial … and Trade Policy, and Public Citizen (collectively, the ``Investor Advocacy Group'' and the ``Investor Advocacy Group … filed with CME and/or NFA.\610\ These programs generate alerts for discrepancies that exceed defined thresholds. …
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… withdrawal of customer initial margin, and JAC Regulatory Alert #19-02 reminding FCMs of those requirements,\22\ … under the 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 …
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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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… 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. …
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