WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label COUNTERPARTIES. Show all posts
Showing posts with label COUNTERPARTIES. Show all posts
Monday, March 23, 2015

CFTC STAFF ISSUES ADVISORY PERTAINING TO OCR FINAL RULE

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FROM:  U.S. COMMODITY FUTURES CFTC Staff Issues Advisory Reminding Futures Commission Merchants, Clearing Members, Foreign Brokers, Swap De...
Saturday, July 9, 2011

SEC COMMISSIONER PAREDES PROPOSES BUSINESS CONDUCT STANDARDS FOR SECURITY-BASED SWAPS

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The following is an excerpt from the SEC website: "Speech by SEC Commissioner: Statement at Open Meeting to Propose Business C...
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