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SEC Charges Broker-Dealer Nationwide Planning And Two Affiliated Investment Advisers With Violating Whistleblower Protection Rule - NJ-Based Firms Impeded Clients From Voluntarily Reporting Information To The SEC
Date 04/09/2024
The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered investment adviser Blue Point Strategic Wealth Management, LLC, for impeding brokerage customers and advisory clients from reporting securities law violations to the SEC. The firms agreed to pay combined civil penalties of $240,000 to settle the SEC’s charges.
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Cboe Global Markets To Present At The Barclays Global Financial Services Conference On September 9
Date 04/09/2024
Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, announced today that Fredric Tomczyk, Chief Executive Officer, Jill Griebenow, Executive Vice President and Chief Financial Officer, and David Howson, Executive Vice President and Global President, will present at the Barclays Global Financial Services Conference in New York City on Monday, September 9 at 10:30 a.m. ET.
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Nasdaq Executives To Present At Upcoming Investor Conferences
Date 04/09/2024
Nasdaq (Nasdaq: NDAQ) will be presenting at the following conferences in September with webcasts available at Nasdaq’s Investor Relations website: ir.nasdaq.com/events.cfm.
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Nasdaq Reports August 2024 Volumes
Date 04/09/2024
Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for
August 2024 on its Investor Relations website. A data sheet showing this information can be found at: http://ir.nasdaq.com/financials/volume-statistics. -
Deutsche Börse: Two Additions To MDAX, Three To SDAX
Date 04/09/2024
STOXX Ltd. has announced the new composition of the DAX blue-chip indices.
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FTSE China Index Series Quarterly Review – Q3 2024
Date 04/09/2024
- Two additions to the FTSE China A50 Index
- One addition to the FTSE China 50 Index
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IMF: Financial And Regulatory Reform Agenda Contributed To Accelerating Saudi Economy's Growth
Date 04/09/2024
The International Monetary Fund (IMF) issued a positive report on the Kingdom of Saudi Arabia following the conclusion of the Article IV consultations with Saudi Arabia. The IMF report confirmed that Saudi Arabia's financial and regulatory reform agenda contributed to accelerating the Saudi economy's growth, containing inflation, and reducing the unemployment rate to its lowest levels ever. The IMF praised the ongoing economic transformation and efforts to diversify the economy under the Saudi Vision 2030.
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FINRA Campaign Urges New Investors To Take Key Steps Before Trading - ‘Get Your Head In The Trade’ By Setting Goals, Knowing Your Risk Tolerance, And Understanding How Investments Can Make Or Lose Money
Date 04/09/2024
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
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New Challenge Seeks To Tackle Online Crypto Investment Fraud With Innovation - Partnership Between Alberta Securities Commission, Edmonton Police Foundation And Edmonton Police Service Welcomes Proposals To Combat Rising Scams
Date 04/09/2024
The Alberta Securities Commission (ASC) has partnered with the Edmonton Police Foundation (EPF) and the Edmonton Police Service (EPS) to launch the ScamShield: Investor Protection Challenge to seek new and innovative solutions to address the growing threat of online crypto investment fraud.
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Dissenting Statement Of CFTC Commissioner Caroline D. Pham On DeFi Enforcement Action Involving Uniswap Protocol
Date 04/09/2024
I respectfully dissent on In re Universal Navigation Inc., a decentralized finance (DeFi) enforcement action involving the Uniswap Protocol[1] on the Ethereum blockchain, because there is no evidence in the administrative record that describes the specific terms and/or characteristics of the “Leveraged Tokens” as characterized in the settlement order. Without such information, it is not possible to perform an appropriate product legal analysis of the Leveraged Tokens to determine whether they are a CFTC-jurisdictional product, and, therefore, whether the CFTC has the authority to bring this enforcement action in the first place and whether a violation of the Commodity Exchange Act (CEA) or CFTC regulations has actually occurred.
