The U.S. Commodity Futures Trading Commission is ready to regulate a US. carbon market, Bart Chilton, chair of the CFTC’s Energy and Environmental Markets Advisory…
Client accounts transferred to Altimum Mutuals
Keybase fined $150,000; Sukhraj fined $50,000
New advisory clarifies alternative method to determine capital requirements
CFTC charged defendants in February with misappropriating more than US$4.6 million of customer funds
A hearing panel of the Investment Industry Regulatory Organization of Canada has found that Toronto rep had undisclosed financial dealings in accounts at another firm.From…
Independence of thought key to avoid getting caught up in ideological fashions
Regulator mulls expansion of board to 15 members
CTIC issued securities without complying with N.B. securities laws
Provincial regulators have approved trading rule amendments regarding the “best price” obligation, the Investment Industry Regulatory Organization of Canada said Friday.The amendments were implemented back…
First Canada Capital Partners and the firm’s president fined $40,000
The Commodity Futures Trading Commission is launching a new committee to address the challenges posed by carbon markets.The CFTC says that it is preparing for…
Proposed rule mandates yield disclosure for fixed income securities
A hearing panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada has approved a settlement agreement between the MFDA and…
Penalty and costs called “reasonable and appropriate”
Website increases financial literacy among youth
Financial stability necessary for full recovery
Foundation will continue to press for the appointment of one commissioner with a retail investor perspective
SEC seeks comments on short sale price test and circuit breaker restrictions
Committee to ensure individuals and businesses have access to financing
Regulator continues to explore options to compensate investors more quickly
Board consulting with U.S. and international bodies before making its choice
Lack of independence leaves government unable to do more to aid the economy
Scheme targeted Chinese-American community
Agreements would allow Fed to provide foreign currency liquidity to U.S. banks