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  • FINRA Announces Departure Of Enforcement Deputy Head Christopher Kelly

    Date 31/10/2023

    FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.

  • SEC Charges Four Long Island Men With Perpetrating $2 Million “Free-Riding” Scheme

    Date 31/10/2023

    The Securities and Exchange Commission today announced fraud charges against Eduardo Hernandez, Christopher Flagg, Daquan Lloyd, and Corey Ortiz, all currently or formerly of Long Island, New York, for perpetrating a multi-year “free-riding” scheme that generated more than $2 million in illicit profits.

  • SIFMA Statement On DOL Rule On Retirement Savings Advice

    Date 31/10/2023

    SIFMA issued the following statement from president and CEO Kenneth E. Bentsen, Jr. regarding a release today from the Department of Labor (DOL) related to retirement savings advice:

    “Since the Department of Labor (DOL) first proposed a change to the definition of fiduciary, the landscape has changed greatly, most notably with the introduction of the Regulation Best Interest (Reg BI). Reg BI implemented a best interest standard that did not exist at the time of the 2015 DOL re-proposal and foundationally improved the protections in place for retirement savers. SIFMA long supported a best interest standard of care for brokers. That standard is now in place – it is robust and expansive with significant duties and obligations imposed on broker-dealers that unquestionably enhances investor protection. Upon initial review, we are concerned that the Department’s newest proposal may go too far, inconsistent with existing federal regulations such as Reg BI and as a result could limit access to advice and education while also limiting investor choice in advisors.”

  • Nadex Self-Certifies SHIB Cryptocurrency Touch Bracket Contracts

    Date 31/10/2023

    Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new SHIB Cryptocurrency Touch Bracket Contracts. These contracts will be listed on or after trade date November 3, 2023.

  • Ontario Securities Commission Launches Investing Academy During Financial Literacy Month

    Date 31/10/2023

    The Ontario Securities Commission (OSC) today announced a new interactive feature on its recently relaunched Get Smarter About Money investor education website and its programming for Financial Literacy Month.

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