U.S. Securities and Exchange Commission

Litigation Release No. 22086 / September 8, 2011

Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov (United States District Court for the District of Massachusetts, Civil Action No. 11-CV-11576)

Commission Sues Massachusetts Investment Adviser For Fraudulently…

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we already knew about that but I found this a very good review of the legal situation of Foreign Exchange in the US

Francesc

 

SEC adopts interim final rule for broker-dealers engaging in retail foreign exchange transactions

By Goodwin Procter LLP at Lexology

The SEC adopted an interim final temporary rule (the “Interim Retail… Continue

SEC Announces Criminal Charges Filed in $194M Trading Scheme Organized by Trevor Cook

by Citybizlist

The Securities and Exchange Commission announced that on July 19, 2011, the U.S. Attorney's Office in Minnesota filed criminal charges against Jason Bo-Alan Beckman, Gerald Joseph Durand, and Patrick…

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Retail FX Brokers Shrug Off SEC's Warning To Their Customers

By Jessica Holzer and Chana R. Schoenberger Of DOW JONES NEWSWIRES

WASHINGTON (Dow Jones)--It's getting harder to sell currency-trading services to individuals. Regulations stemming from last year's Dodd-Frank financial regulatory law are kicking in, in a bid to curb fraud in the market. Regulators are…

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SEC Issues Warning On Retail Forex Trading

By Jessica Holzer and Chana R. Schoenberger Of DOW JONES NEWSWIRES

WASHINGTON (Dow Jones)--The U.S. Securities and Exchange Commission warned people about the risks of trading foreign currencies Wednesday, saying the activity could expose retail investors to substantial losses.

The official investor alert comes after…

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this is not good.... not at all...

Francesc

 

SEC's Aguilar seeks investor alert on retail forex

By Sarah N. Lynch at Reuters

WASHINGTON (Reuters) - A top securities regulator is calling for a special investor alert to warn retail investors about the risks of trading off-exchange foreign currency contracts.

Luis Aguilar, a… Continue

Felix and Elan... You are doing a great job at Shipkevich Law Firm and CFTCLaw.com... Way to go!

Francesc

 

SEC delays retail forex broker ban

By Shipkevich Law Firm at CFTCLaw.com

The Securities and Exchange Commission (SEC) has offered an interim final rule allowing foreign exchange (forex) transactions between broker-dealers and non-eligible contract participants (non-ECPs) to…

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SEC Suspends Rules Barring Retail Forex Trades By Brokers

By Jessica Holzer and Jamila Trindle at Dow Jones

WASHINGTON (Dow Jones)--After lobbying from the brokerage industry, U.S. securities regulators moved to put on hold rules that would have barred certain retail foreign currency trades by brokers.

The Dodd-Frank… Continue

SEC CHARGES SOUTH FLORIDA MAN AND WOMAN IN $30 MILLION PONZI SCHEME

The Securities and Exchange Commission today charged two South Florida residents for conducting a $30 million Ponzi scheme with funds primarily raised by offering and selling unregistered investment contracts and promissory notes to hundreds of investors nationwide from 2005 until the summer of 2007.



The SEC… Continue