Tag: states united
2019-12-06 13:43:52| Mondaq.Com
After watching The Irishman on Netflix, I'm left with two overriding thoughts: One, my God, that's a long movie (like, thank God it's on Netflix
2019-12-06 13:32:47| Mondaq.Com
NFA proposed reducing the fees on Forex Dealer Members ("FDM") under the Forex Transaction Reporting Execution Surveillance System ("FORTRESS").
2019-12-06 13:31:52| Mondaq.Com
NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.
2019-12-06 13:31:06| Mondaq.Com
A municipal securities dealer settled FINRA charges for providing inaccurate information in the issue price certificates of 22 municipal offerings.
2019-12-06 13:30:11| Mondaq.Com
The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.