NFA proposed amendments to certain filing requirements relating to filings to be made by swap dealers using models to compute net capital.
News & Insights
21975 News Results
Cboe Europe B.V. notified the SEC Division of Trading and Markets that it intends to rely on the class no-action relief issued in July 2013 to engage in familiarization activities as to "Eligible Options" traded on its exchange with "Eligible Broker-Dealers / Eligible Institutions" in the United States.
A CEO of a bank holding corporation settled FTC charges for violations of the notice and waiting period requirements under the Hart-Scott-Rodino Act.
The SEC charged an online crypto lending platform, its founder, and its leading promoter and his company with carrying out a $2 billion fraudulent, unregistered securities offering. In a related action, the leading promoter pled guilty to DOJ charges of conspiracy to commit wire fraud and criminal forfeiture for his involvement in the fraudulent offering.