United States: School For Day Trading Settles SEC Charges For Offering "Security-Based Swaps" - Cadwalader, Wickersham & Taft LLP

Mondaq

30 Oct 2020 0 shares 1 views

United States: School For Day Trading Settles SEC Charges For Offering

United States: School For Day Trading Settles SEC Charges For Offering "Security-Based Swaps" - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 30 Oct 2020

A school for day trading securities settled SEC charges for (i) offering security-based swaps to non-eligible contract participants

You might like

Related news coverage

United States: CFTC And SEC Establish Program To Enhance Coordination On Bad Actor Exemption Disqualifications - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Oct 2020

The rules disqualify entities from certain registration exemptions for security offerings if it is determined that, among other..

United States: SEC Issues Warning To Broker-Dealers On Borrowing From Fully Paid Lending Programs - Cadwalader, Wickersham & Taft LLP
Mondaq 28 Oct 2020
United States: SEC And CFTC Adopt Reduced Margin Requirements For Security Futures - Cadwalader, Wickersham & Taft LLP
Mondaq 27 Oct 2020
United States: Issuer Settles SEC Charges For Improper Stock Buyback - Cadwalader, Wickersham & Taft LLP
Mondaq 21 Oct 2020
United States: FINRA Considers Applying Its Rules To Security-Based Swaps - Cadwalader, Wickersham & Taft LLP
Mondaq 20 Oct 2020

Advertisement