Displaying results 71 - 80 of 102
… typically provide for private rights of action for damages against persons who violate Section 4d, or persons who … a civil injunctive complaint in federal district court against Peregrine and its Chief Executive Officer and sole … earnings in excess of 3 percent of the total paid-in capital and surplus to the U.S. Treasury's general fund). …
… or dealer to execute a Required Transaction by trading against a customer's order, or executing two customers' orders against each other, through pre-negotiation or … new bond issuances in helping market participants to raise capital and fund origination loans for businesses and …
… would not recommend the Commission take enforcement action against such entities for not clearing swaps that otherwise … that the division would not recommend enforcement action against certain bank holding companies and savings and loan … Markets, Inc. (Better Markets), (5) Chris Barnard; (6) the Capital Impact Partners, Community Housing Capital, …
… a transaction has resulted in actual delivery \21\ and again provided examples \22\ of what may and may not … the Commission brought its first enforcement action against a platform that offered virtual currency transactions … \43\ 3 Degrees Group, Inc. (``3 Degrees''); Cable Car Capital LLC (``Cable Car''). \44\ Chamber of Digital …
… markets); clearing and settlement risks (as more firms gain access to trading platforms, trades may not be subject … algorithmic order origination among market participants. Against this backdrop, the Commission believes that … of (i) orders exceeding appropriate pre-set credit or capital thresholds in the aggregate for each customer and …
… on the use or disclosure of material non-public information gained through the performance of official duties by board … committee members, and contract market employees, or gained through an ownership interest in the contract … to the board composition, succession planning and human capital management; (3) potential improvement to the SEF's …
… of the part 37 implementation process, the Commission has gained greater familiarity with the swaps markets, in … that SEFs have the ability to take disciplinary action against the individual or entity--the asset manager--that … safety; \391\ platforms that established objective minimum capital or credit requirements; \392\ and platforms that …
… 2012, a trading firm in the securities markets--Knight Capital Group--submitted a significant number of errant … conduct testing and supervision of trading systems. There again, the Commission indicated that further measures would … are clearing members to pre-screen orders of DMA clients against risk limits that are established by the FCM. See 17 …
… for cyber-crime in securities markets, away from financial gain and towards more destabilizing aims.'' \13\ … informed by how its controls and countermeasures stack up against the techniques, tactics, and procedures used by its … been addressed, and inform related budgetary decisions and capital investment.\92\ FFIEC calls for controls testing …
… claims for such funds, and ahead of most other claims against the DCO's estate.\23\ Further, part 190 of the … regulations establishes how clearing members' claims against the DCO's estate should be determined and how … company that has in excess of $1 billion of regulatory capital, an FCM, or a DCO. Foreign central banks, as …