In another example of regulators struggling with the general mandates of the Dodd-Frank Act, the CFTC was forced to delay a vote on establishing
Its not often I write about criminal cases but this is one that all executives in the commodities industry need to know about. In Brooks v. United
You may remember that I previously wrote about the NFA's proposals earlier this year to better monitor customer segregated funds after some high
The NFA recently announced that it would provide a limited time relief to Bylaw 1101’s prohibition for members transacting business with unregistered persons.
In a recent award, a FINRA panel held that the use of a personal investment advisory questionnaire as a disclosure device was misleading and had the capacity to deceive.
The CFTC announced today that it had a record enforcement year.
Ponzi schemes seem to be more and more common over the last few years.
On August 24, 2012, FINRA filed a proposed rule change with the SEC relating to when industry parties seek the appearance of witnesses or the production of documents from FINRA members and individuals associated with the members.
The Commodity Futures Trading Commission recently proposed new rules to implement statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The Securities and Exchange Commission (SEC) recently announced new cooperation initiatives to strengthen its enforcement capabilities.