[lemma=with] [tag=DT]? [□=□] □
[lemma=with] [tag=DT]? [lemma=□] □
[lemma=with] [tag=DT]? [tag=□] □
The court concluded that by causing transactions to be effected for subscribers ’ commodity interest accounts through Nexgen ’ s generation and transmission of purchase and sell signals to the subscribers ’ FCMs - - with the knowledge that those signals would be used to place trades in subscribers ’ accounts without the subscribers ’ specific authorization of each trade - - Nexgen operated as a CTA as defined by the Commodity Exchange Act ( CEA ) and violated the CEA by not registering with the Commission as a CTA . In other words , I know many people , including many of my friends in the securities industry , did n't want anything to do with this Commission because they did n't want to be seen as having anything to do with gambling . The Commission 's complaint also alleges that the Advisers routinely misstated their assets under management in Forms ADV filed with the Commission between May 2002 and March 2004 , and failed to provide the Commission 's staff with required books and records on a timely basis . Victorians can also lodge their complaint directly with the Commission through the Sydney office . The Nasdaq Exchange , on behalf of itself , its listed companies , and certain third-party filers , requests that the obligations of Nasdaq Exchange-listed companies and certain third-party filers under the federal securities laws to file information with the Nasdaq Exchange be deemed satisfied by the filing of such information electronically with the Commission through the Electronic Data Gathering , Analysis , and Retrieval ( EDGAR ) system pursuant to Regulation S-T and pursuant to the applicable Nasdaq Exchange rules . Tasmanians choosing federal jurisdiction may lodge a complaint directly with the Commission through the Sydney office . Comment period concerning the Commission ’ s proposed amendments to its regulations to require , subject to the existing exception for certain notice registered securities brokers or dealers ( BDs ) , that all persons registered with the Commission as futures commission merchants ( FCMs ) must become and remain members of at least one registered futures association ( RFA ) ends , December 1 , 2006 . The Commission , in its Adopting Release , considered issues raised by the extraterritorial application of the rule , and in adopting the rule and rule amendments , the Commission took significant steps designed to limit the extraterritorial burdens of the rule.11 Consistent with that approach , we would not recommend enforcement action to the Commission under section 203 ( a ) against an offshore subadviser that did not register with the Commission as an investment adviser solely because it advises a private fund , provided : ( 1 ) the subadviser is hired ( and subject to being discharged ) by the private fund 's adviser that is registered with the Commission ( " primary adviser " ) ; ( 2 ) the subadviser is not otherwise required to register with the Commission ; ( 3 ) the subadviser does not control , is not controlled by , or is not under common control with the fund 's primary adviser ; 12 ( 4 ) the written materials provided to the fund 's investors clearly disclose that a portion of the fund 's assets may be managed by one or more offshore subadvisers not registered with the Commission ; and ( 5 ) at the time the subadviser is hired , and at the time any additional assets of the fund are allocated to the subadviser for management , the unregistered offshore subadviser does not manage more than 10 percent of the fund 's total assets.13 The first three of these five conditions are suggested by your letter . The SEC charged that in proxy statements filed with the Commission from 1997 to 2003 , Tyson Foods made misleading disclosures of perquisites and personal benefits provided to Don Tyson both prior to and after his retirement as senior chairman in October 2001 . It establishes a process for the Commission to decide whether banks selling new hybrid securities products must register with the Commission as brokers or dealers . Victorians can also lodge their complaint directly with the Commission through the Sydney office by post or online .