NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.
News & Insights
22399 News Results
A municipal securities dealer settled FINRA charges for providing inaccurate information in the issue price certificates of 22 municipal offerings.
The DOJ charged a U.S. citizen with violating the International Emergency Economic Powers Act after traveling to the Democratic People's Republic of Korea and speaking at a Pyongyang cryptocurrency conference.
The SEC named Kristina Littman as the agency's new Division of Enforcement Cyber Unit Chief.
Lawyers reviewed SEC proposals amending rules covering (i) advertising by investment advisers and (ii) the solicitation of advisory clients and fund investments.