Displaying results 131 - 140 of 205
… farmers, ranchers, manufacturers, commercial end-users, and investors are able to participate to efficiently manage … whistleblower office, we publicly issued a whistleblower alert to help the public identify and report potential … Number 8723-23, CFTC, CFTC Whistleblower Office Issues Alert Seeking Tips Relating to Carbon Markets Misconduct …
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… also essential that we ensure fair and orderly markets for investors and hedgers looking to minimize risk. Immediately … shouldn’t be confused with yield signs. They are a way to alert the exchanges of growing positions. Nearly 70 parties …
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… launched Dating or Defrauding ?, a national effort to alert consumers to romance scams. The multi-agency campaign … OCEO engages in outreach and education to retail investors, traders, industry organizations, and the …
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… violations of securities law involving over 700 Ontarian investors and over $1.4 million Canadian dollars. The CFTC … including the Binary Options and Fraud Advisory , which alerts customers to this type of fraud and list simple ways …
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… And I believe that’s how the vast majority of retail investors trade across most markets. However, the ability to … cause undue danger to the broader financial system, other investors, or consumers. While algorithmic trading may be … At some firms, the risk controls might currently include alerts that trigger notice to accountable staff when an …
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… even call it news—has been blurred to red-alert levels. It is a shame. I’ve seen 25-plus years in … that HFT trading imposes quantifiable costs on small investors. This could end up pushing smaller, non-HFT … to prevent another major flash crash. We could have a red alert flash crash this afternoon. By the way, HFTs aren’t …
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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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… Issues Customer Advisory on Digital Tokens New Guidance Alerts Customers to Use Caution and Research before … Approved” Virtual Currency IRAs is designed to encourage investors to be cautious of sales pitches touting “IRS …
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… § 1a(9) (definition of commodity). [10] See CFTC/NASAA Investor Alert: Foreign Exchange Currency Fraud, available at … cftc.gov/LearnAndProtect/AdvisoriesAndArticles/cftcnasaaforexalert.html ; CFTC Fraud Advisory: Foreign Currency (Forex) …
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… system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … of reporting excesses in limits and policy exceptions, and alerting management of risk exposures approaching pre- set … that undue influence of securities issuers, institutional investors, and other outside parties on analysts is …
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