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Petition argues for express requirement to apply ‘total mix’ standard
A petition for certiorari has been filed asking the Supreme Court to address the materiality need for a conviction under Section 10(b). The petitioners were convicted of violations of Rule 10b-5(c...
FCM held liable for failure to supervise its IT provider and resulting data breach
The CFTC issued an order simultaneously filing and settling charges against AMP Global Clearing LLC (AMP), a Chicago-based futures commission merchant (FCM) registered since 2010, for its failure to...
SEC launches initiative to encourage self-reporting of share class selection disclosure failures
The SEC’s Enforcement Division has announced an initiative to protect advisory clients from undisclosed conflicts of interest and encourage advisers to self-report violations. Under the Share...
Quintenz calls on cryptocurrency community to create self-regulatory framework
In a recent appearance before the Yahoo Finance All-Markets Summit in New York City, CFTC Commissioner Brian Quintenz called on the cryptocurrency community to establish a self-regulatory structure...
Coscia seeks Supreme Court review of first criminal commodities spoofing conviction
Calling a Dodd-Frank Act provision prohibiting commodities spoofing "hopelessly vague," the first defendant criminally convicted under the provision has asked the Supreme Court to grant...