Displaying results 171 - 180 of 205
2015-30533
… metals, and other raw materials, as well as natural  person investors. The Commission is committed to the safety and  … of the federal securities laws--the  protection of investors and the stability of our markets require that  … unintended consequences; implementing controls, monitors, alerts and  reconciliation processes that enable the firm to …
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2012-5317
… annually; (v) implement an early warning system designed to alert senior management when position limits are in danger … involving such specific derivative contract.'' ADM Investor Services Inc. commented on the differences between … LLP (on behalf of Peregrine Financial Group Inc.), ADM Investor Services Inc., John Stewart & Associates Inc., and …
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2013-26665
… 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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2013-26665
… 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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2013-26665
… 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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2012-7477
… Societe Generale (``SG''); The Association of Institutional Investors (``AII''); and The Committee on Capital Markets … potential losses. The purpose of the calculation is to alert the clearing firm to potential risks that might … staff perform stress tests of FCM positions and have alerted FCMs about potential losses. Based on Commission …
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2012-20508
… type of entity, and sells the equity interests therein to investors, but retains the right to call, repurchase, or … the requirements in proposed Sec. 39.6(g)(1)-(2). Besides alerting the Commission of the election, the information … type of entity, and sells the equity interests therein to investors, but retains the right to call, repurchase, or …
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Keynote Address of Chairman Rostin Behnam at the ABA Business Law Section Derivatives & Futures Law Committee Winter Meeting
… recall it as a period of time that put the CFTC on highest alert….” [3]   2022 gave the agency an opportunity to … commodity pools.  I am increasingly concerned that many investors are not receiving the full protections of Part 4 … Memorandums and other publications distributed to potential investors, I am interested in establishing a threshold level …
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2024-04107
… withdrawal of customer  initial margin, and JAC Regulatory Alert #19-02 reminding FCMs of those  requirements,\23\ … in 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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Keynote of Chairman Rostin Behnam at the FIA Boca 2022 International Futures Industry Conference, Boca Raton, Florida
… At the CFTC, under my direction, we are on heightened alert and we welcome your collaboration to the extent you … and systems testing to avoid operational problems and investor harm.  It was an unsaid bargain that the U.S. would … approach to ensure that the standards that American investors have come to expect from our financial markets are …
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