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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Joseph Moreno ordered by Published Date Descending.
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CFTC Joins Fight Against Foreign Corruption
CFTC Division of Enforcement Director James McDonald pledged to enforce CEA provisions that encompass foreign corrupt practices and issued an Enforcement Advisory on cooperation and self-reporting for violations of...
United States
18 Mar 2019
2
SEC Rejects Another Nine Proposed Bitcoin ETFs
The SEC Division of Trading and Markets rejected applications for nine exchange-traded funds ("ETFs") tied to bitcoin futures markets from three separate companies – ProShares, Direxion, and GraniteShares – on the grounds that they lacked adequate means of preventing "fraudulent and manipulative acts and practices."
United States
3 Sep 2018
3
FINRA Encourages Firms To Report Activities Related To Digital Assets
FINRA urged firms to notify their FINRA Regulatory Coordinators in writing if they, or their associated persons or affiliates, are currently engaging in or intend to engage ...
United States
26 Jul 2018
4
Attorney Settles Charges Of Illegally Selling Blockchain-Related Securities
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
United States
19 Jul 2018
5
House Subcommittee Examines CFIUS, New Bipartisan Legislation Would Expand Authority
The House Financial Services Subcommittee on Monetary Policy and Trade reviewed the history and operations of the Committee on Foreign Investment in the United States ("CFIUS").
United States
18 Dec 2017
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