Commentary by Bob Zwirb
The CFTC Division of Intermediary Oversight denied a request by a commodity pool operator for no-action relief from filing an annual report containing audited financial statements.
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Commentary by Bob Zwirb
The U.S. District Court for the District of New Jersey granted an SEC Motion for Summary Judgment against a former law firm clerk charged with participating in an insider trading scheme.
The SEC provided guidance for investment clubs and their associated persons on complying with SEC regulation.
The National Futures Association commented on the CFTC's proposed interpretation of the phrase "actual delivery" in relation to retail commodity transactions involving virtual currency.
The Consumer Financial Protection Bureau is soliciting new members to join CFPB advisory groups.