The CFTC announced that it issued an order filing and settling charges against Upstream Energy Services LLC of Houston, Texas req...
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October 25, 2019
NASAA ANNOUNCES 2025 FEE SCHEDULE FOR INVESTMENT ADVISER REGISTRATION DEPOSITORY SYSTEM
THE CFTC APPROVES PART 40 FINAL RULE TO SIMPLIFY AND ENHANCE RULE AND PRODUCT SUBMISSION PROCESSES
CFTC APPROVES FINAL RULE REGARDING EXEMPTIONS FROM CERTAIN COMPLIANCE REQUIREMENTS FOR COMMODITY POOL OPERATORS, COMMODITY TRADING ADVISORS, AND COMMODITY POOLS
CFTC CHARGES UNREGISTERED FLORIDA COMMODITY POOL OPERATOR AND ITS CHIEF EXECUTIVE OFFICER WITH FUTURES FRAUD
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B.C. - BASED CRYPTO TRADING PLATFORM DEFRAUDED CUSTOMERS OF $13 MILLION
RONALD JAMES AITKENS SENTENCED TO FOUR YEARS IN JAIL FOR FRAUD AND MISLEADING STATEMENTS
PMAC SUMMARY ON OSC NOTICE 33-756 – SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS 2023-2024
SUPREME COURT CURBS REGULATORS’ ENFORCEMENT POWER