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Federal Trade Commission (8)
Your search for Federal Trade Commission returned 8 results.
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2/23/2017 | Content area: Investment Adviser
If your firm plans any large acquisitions of an entity’s stock this year, don’t forget to notify the Federal Trade Commission and the Department of Ju...
9/22/2016 | Content area: Investment Adviser
Our recent coverage of the FTC’s notable $11 million fine against an investment adviser for violating the filing requirements under the Hart-Scott-Rod...
7/28/2016 | Content area: Investment Adviser | Private Fund
This month ‘s largest settlement ever for violating federal law mandating notifying the government of certain large stock acquisitions is shaking the ...
3/05/2012 | Content area: CPO/CTA
Talk of this move has bubbled for years and now the SEC - along with the CFTC - are proposing the authority to essentially enforce the Federal Trade C...
6/01/2010 | Content area: Investment Adviser
The Federal Trade Commission has again put off enforcement of its red flags rule that aims to deter identity theft (IA Watch, March 29, 2010). For at ...
3/29/2010 | Content area: Investment Adviser
The Federal Trade Commission hopes to begin enforcing its red flags rule preventing client identify theft in June (IA Watch, Nov. 9, 2009). But a grow...
11/09/2009 | Content area: Investment Adviser
By now you have to wonder if the red flags will ever fly ( IA Watch, Oct. 27, 2008). The Federal Trade Commission has once again delayed the enforceme...
5/11/2009 | Content area: Investment Adviser
The industry has more time to comply with the Federal Trade Commission's red flags for identity theft rules (IA Week, April 27, 2009). For the second ...


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