An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
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An entity and its owner settled charges with the CFTC for failure to register as a commodity trading adviser in connection with the provision of trading signals for binary options transactions.
The SEC set a comment deadline of October 2, 2023, for proposed amendments to exemptions from the prohibition on Commission registration for certain investment advisers that provide advisory services through the internet.
The SEC proposed amendments to exemptions from the prohibition on Commission registration for certain investment advisers that provide advisory services through the internet.
The CFTC Market Participants Division granted no-action relief to a company that acquires biopharmaceutical royalty interests and enters into foreign exchange derivatives for the purpose of hedging FX risk.