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Results 1 to 5 of 56

Victim of fraud sued for fraud

USA - November 24 2015 On November 16, 2015, the Securities and Exchange Commission (SEC) sued an investment adviser, Virtus Investment Advisers, Inc., who had hired…

Co-authors: Richard D. Marshall, Gary DeWaal, David Y. Dickstein , Wendy E. Cohen, Allison C. Yacker.

CFTC proposes revisions to pending aggregation rules

USA - September 28 2015 The Commodity Futures Trading Commission (CFTC) has voted to seek public comment on revisions to its proposed rules requiring the aggregation of…

Co-authors: Gary DeWaal, Carolyn H. Jackson, Kevin M. Foley.

NFA grants Form PR reporting relief to certain CTAs

USA - August 7 2015 National Futures Association (NFA) has notified its member commodity trading advisors (CTAs) that do not direct trading of commodity interest…

Co-authors: James M. Brady.

CFTC’s energy and environmental markets Advisory Committee to meet on July 29

USA - July 17 2015 The Commodity Futures Trading Commission's Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory…

Co-authors: James M. Brady.

NFA requires notice from CPOs that consolidate filings of subsidiary pools

USA - July 17 2015 National Futures Association (NFA) has issued a notice requiring all commodity pool operators (CPOs) that have filed a notice of claim under…

Co-authors: James M. Brady.

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