New York Law Journal
...Sentinel trustee against FCStone, a futures commission merchant (FCM), concluding that application...
...1 More recently, in 2013, the SEC and Commodity Futures Trading Commission (CFTC) jointly issued Identity Theft Red Flag rules which impose...
...their advisers and for investors in hedge funds, and 4) Commodity Futures Trading Commission (CFTC) regulation of investment advisers managing mutual funds that are...
In his Antitrust column, Elai Katz, a partner of Cahill Gordon & Reindel, writes that the U.S. Supreme Court ruled that a district court should not have certified a class of cable subscribers asserti
...conflict disclosures. Shortly thereafter, the U.S. Securities and Exchange Commission (SEC) adopted Regulation AC, which requires research analysts to certify the truthfulness...
...4o and 22 of the Commodity Exchange Act (the "CEA...LLC, Thor Capital LLC, Thor Futures LLC, and Thor Realty LLC...
...Securities and Exchange Commission with respect to...prosecutions in the future appear unlikely. In...prosecute securities and commodities fraud, investment scams...
...and palladium futures markets and...her Futures Commission Merchant, from...a registered commodity pool operator...and commodity trading advisor ("...
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