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Legal Influencer

Q3 | 2018

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Results 1 to 5 of 1944
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Bag the Gag Orders Required by Respondents Settling SEC Enforcement Actions Requests Libertarian Think Tank in Federal Court Lawsuit

USA - January 13 2019 In a lawsuit filed in a federal court in the District of Columbia, the Cato Institute - a well-renowned libertarian think tank - claimed that the...

Norway Regulator Censures Exchange in Connection with Recent Default

Norway - January 13 2019 The Financial Supervisory Authority of Norway (Finanstilsynet) criticized the Norwegian branch of Nasdaq Clearing in connection with its handling and...

EU Banking and Markets Regulators Say European Financial Regulations Unevenly Applied to Cryptos or Not at All

United Kingdom, European Union, Hong Kong - January 13 2019 Both the European Banking Authority and the European Securities and Markets Authority issued reports to the European Commission saying there were...

Non-Member’s Placement of Matching Buys and Sells Constituted Wash Sales Says CBOT

USA - January 13 2019 The Chicago Board of Trade's business conduct committee fined Benn Hepworth, a non-member, US $50,000 for alleged wash trades. CBOT found that...

NFA Sets April 1 as Compliance Date for New ISSP Requirements

USA - January 13 2019 The National Futures Association's recently proposed amendments to its 2016 interpretive notice on Information Systems Security Programs will be...