6/04/2018 | Content area:
Guzman misappropriated approximately a third of the investors' money, using it to pay himself and his personal expenses, and to make Ponzi payments to...
10/12/2017 | Content area:
A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decid...
5/24/2017 | Content area:
The SEC's complaint, filed in federal court in the Western District of North Carolina, alleges that between at least April 2010 and at least August 20...
4/27/2017 | Content area:
Making $6,000 in under 10 minutes would make a lot of people’s day.
The problem for Kevin Amell is that that option trade was based on fraud, accord...
6/13/2016 | Content area:
This case involves two fraudulent trading schemes by Behruz Afshar (“Behruz”) and his twin brother, Shahryar Afshar (“Shahryar”), and their close frie...
3/16/2016 | Content area:
The Commodity Futures Trading Commission (the “Commission” or the “CFTC”) is issuing a final rule to amend the limited trade options exemption in the ...
4/30/2015 | Content area:
Commissioner Bowen discusses instruments containing a forward contract with volumetric variability.
1/05/2015 | Content area:
Surveillance for all equities and options trading in the U.S. will be done by FINRA. As of this year, the SRO began to provide market surveillance, fi...
1/01/2015 | Content area:
(a) Definitions. (1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of...
8/09/2013 | Content area:
This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. ...
2/27/2012 | Content area:
Turns out the process to register as a commodity pool operator or commodity trading advisor with the CFTC differs greatly from the SEC's process. For ...
12/20/2011 | Content area:
This is a final rule from the CFTC, issued in December 2011, that includes Dodd-Frank reforms related to the segregation of customer accounts that inv...
4/09/2004 | Content area:
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-49175; File No. S7-07-04RIN 3235-AJ15Competitive Developments in the Options MarketsA...
7/28/2000 | Content area:
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43085; File No. S7-17-00]RIN 3235-AH96Firm Quote and Trade-Through Disclosure Rules f...
5/04/2000 | Content area:
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange C...
7/31/1998 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund