Displaying results 161 - 170 of 205
… opportunities and challenges for regulators. The CFTC has alerted the public to the considerable risks of virtual … trading, false disclosure, Ponzi schemes and other forms of investor fraud and market manipulation. Indeed, as a … price – wherever the market assigns it – is reflective of investors making informed decisions, free of fraud and …
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… how could it be used to the benefit of traders and investors. One way, potentially, that it could be used is to … quote, why can't I just go ahead, have an automatic alert in there. It is 2:58 Eastern Time. I want to sell some … for Wall Street, a magazine called Institutional Investor, had a panel of forty presumed leaders of E-finance …
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… a significant operational challenge for institutional investors that typically hire asset managers to exercise … to fail to fulfill its intended purpose, I urge them to alert the Commission so that it can consider appropriate …
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… \40\ Funding by investors for a mitigation project or activity could begin as early as the planning stage. Early investors may enter into agreements with a project … In June 2023, the CFTC's Whistleblower Office issued an alert notifying the public on how to identify and report …
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… oversee the audits of public companies in order to protect investors and the public interest by promoting informative, … provides that JAC members must consider issuing ``risk alerts'' to both FCMs and DSRO examiners on an as needed … JAC stated that the requirement to consider issuing risk alerts to DSRO staff examiners is not necessary and …
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… Investment Company Act of 1940 \63\ and hold itself out to investors as a MMF in accordance with SEC Rule 2a-7; \64\ … Investment an MMF must be legally obligated to pay a fund investor (including an FCM) by the close of business on the … filed with CME and/or NFA.\275\ Under these programs, an alert is generated for discrepancies that exceed defined …
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… vary in degree of sophistication, but typically generate alerts on a trade date plus one day (T+1) basis to help … tools that, at a minimum, have the capability to generate alerts, profile trading activity, and sort and query data to … in the same way to futures, which may be traded by retail investors, as it may be applied to OTC products that are …
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… At a minimum, a SEF's systems must be capable of generating alerts on at least a trade date plus one day (T+1) basis to … of trades unless the SEF has installed automated trading alerts to detect many types of potential violations of … market participants. These methods will provide hedgers, investors and Main Street businesses both the flexibility to …
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… 2014, the CFTC launched the SmartCheck website. It connects investors to tools to check the registration, license, and … This collection of tools allows the responsible investor to confirm the credentials of investment … history, and stay ahead of scam artists with news and alerts. …
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… effectively a tax on other market participants, especially investors who trade on open, public exchanges'''). … made available to trade, the clearing determination would alert market participants to the fact that specific classes … made available to trade, the clearing determination would alert market participants to the fact that specific classes …
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