Enforcement

A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...

Individual B, who at that time was a SummerHaven partner and SummerHaven’s Chief Compliance Officer, approved the decision, and told SummerHaven employees that the transactions ...

'If there’s even the remotest notion that something could cause a disclosure issue, put it in.'

'Maybe I should go to jail. But I'm asking you not to put me in jail...'

Beneficial owner, Reg BI, fiduciary duty on Commission's menu

The indictment, fraud suit come as SEC Chairman Gary Gensler weighs Reg D reforms.

'At the date of this letter, however, audit and valuation reports have not yet been completed by GPB’s outside professionals...'

Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...

The co-founder of a New York debt fund adviser has agreed to cooperate with federal investigators and to plead guilty to charges that he and ...

“If you haven’t seen examiners in six plus years, you should expect to see examiners soon,” predicted John Walsh