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Panel Remarks, Federal Reserve Governor Michelle W. Bowman, At The 2023 Symposium On Indigenous Inclusion, The Central Bank Network For Indigenous Inclusion And The Reserve Bank Of New Zealand—Te Pūtea Matua, Auckland, New Zealand

Date 27/09/2023

Governor Bowman was asked to make remarks responding to two questions. Below are the questions and her responses.
SEC Charges Three Southern California Siblings With Insider Trading

Date 27/09/2023

The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia P. Durbin for insider trading before the April 2021 announcement of an offer by storage company United Rentals Inc. to acquire General Finance Corp. The three defendants, all of whom reside in Southern California, realized a combined total of $650,000 in illegal profits from their trading.
SEC Appoints George Botic To The Public Company Accounting Oversight Board

Date 27/09/2023

The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the Public Company Accounting Oversight Board (PCAOB).
Remarks To The Small Business Capital Formation Advisory Committee, SEC Commissioner Mark T. Uyeda, Washington D.C., Sept. 19, 2023

Date 27/09/2023

Good afternoon. As this is the second meeting for the new members of this committee, I hope that you are settling into your roles. I have some thoughts for your consideration as you formulate recommendations to the Commission during your tenure on this committee.
CFTC: Miami Federal Court Enters Preliminary Injunction Order Against Certified Public Accountant In Connection With $58 Million Foreign Currency Fraud And Misappropriation Scheme

Date 27/09/2023

The Commodity Futures Trading Commission today announced the Honorable Darrin P. Gayles of the U.S. District Court for the Southern District of Florida entered a preliminary injunction order against Timothy F. Stubbs on September 22. The court’s decision stems from the CFTC’s January 27, 2022 complaint charging Stubbs, together with four other individuals and five companies, with fraud, misappropriation, and registration violations in connection with a fraudulent foreign currency (forex) scheme. [See CFTC Press Release No. 8486-22]

Statement Of CFTC Commissioner Kristin N. Johnson: Increase Investor Protection By Stopping Bitcoin Investment Fund Fraud

Date 27/09/2023

Today the CFTC announced that it filed a complaint in the Southern District of Florida against Sean Michael and his company Mosaic Exchange Ltd. The complaint alleges that the Defendants solicited and successfully convinced investors to send their bitcoin and other funds to Mosaic under the guise that Mosaic would enter into futures, swaps, and leveraged spot transactions in cryptocurrency on behalf of the investors. The entire scheme was a sham, a virtual house of cards. According to the complaint, Defendants falsely represented their experience, track record, and profitability trading digital asset derivatives, falsely claimed that Mosaic was a digital asset trading platform, and falsely touted their use of a proprietary trading algorithm. Based on these (mis)representations, customers entrusted the Defendants with hundreds of thousands of dollars. All too quickly, these unsuspecting investors discovered that their hard-earned wealth had evaporated alongside their trust in Defendants’ representations.
CFTC Charges Mosaic Exchange Limited And Sean Michael With A Fraudulent Solicitation And Digital Asset Commodities Trading Scheme

Date 27/09/2023

The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Southern District of Florida against Mosaic Exchange Limited, a Pennsylvania limited liability company, and its owner and Chief Executive Officer Sean Michael, presently or formerly of Boca Raton, Florida, for running a fraudulent digital asset commodity scheme.
MIAX Options And MIAX Emerald Options Exchanges - Expanded Opening And Intra-Day Quote Width Requirements And Order Monitor Settings For Certain Symbols Trading On MIAX Options And MIAX Emerald Through Friday, December 29, 2023

Date 27/09/2023

MIAX Options and MIAX Emerald have expanded the maximum valid bid/ask differentials for Market Makers for certain symbols traded on the Exchanges. The expanded bid/ask differentials will be in effect through Friday, December 29, 2023.
SIFMA Welcomes The Introduction Of The Uniform Treatment Of Custodial Assets Act

Date 27/09/2023

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the introduction of legislation, the Uniform Treatment of Custodial Assets Act, which would address the capital treatment of digital assets held in custody at a financial institution:
CFTC Awards Whistleblower More Than $300,000

Date 27/09/2023

The Commodity Futures Trading Commission today announced an award of more than $300,000 to a whistleblower whose particularly informative tip caused the Division of Enforcement (DOE) to open an investigation that led to an underlying enforcement action. That tip precisely and accurately described the misconduct at issue. Moreover, the whistleblower assisted DOE staff multiple times during the investigation, provided additional evidence, interpreted it for DOE staff, and conserved substantial resources for the CFTC.