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  • Statement On Status Of The Consolidated Audit Trail, SEC Chairman Jay Clayton

    Date 09/09/2019

    Today, the Commission proposed amendments to the national market system (“NMS”) plan governing the consolidated audit trail (“CAT NMS Plan”).  The amendments are designed to bring greater transparency and financial accountability to the development of the consolidated audit trail ("CAT") by FINRA and the national securities exchanges (collectively, the “SROs”).  A discussion of the proposed amendments is available here.

  • New York Attorney General Letitia James Announces Antitrust Investigation Into Google - Second Antitrust Investigation Announced Days After Investigation Into Facebook

    Date 09/09/2019

    New York Attorney General Letitia James today released the following statement confirming the ongoing investigation into telecommunications giant Google for antitrust issues:

    “Google’s control over nearly every aspect of our lives has placed the company at the center of our digital economy. But it doesn’t take a search engine to understand that unchecked corporate power shouldn’t eclipse consumers’ rights. That is why New York has joined this bipartisan investigation of Google to determine whether the company has achieved or maintained its dominance through anticompetitive conduct. As with the Facebook investigation we are leading, we will use every investigative tool at our disposal in the Google investigation to ensure the truth is exposed.”

  • SEC Proposes Transparency And Financial Accountability Amendments To The CAT NMS Plan

    Date 09/09/2019

    The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit Trail (the “CAT NMS Plan”). 

  • CFTC Charges Unregistered Forex Trading Firm And Its Principal With Fraud And Misappropriation

    Date 09/09/2019

    The U.S. Commodity Futures Trading Commission has filed a civil enforcement action in the Southern District of New York against defendants Dominick Vincent Carducci and his company VOS Capital Management, LLC (VOS Capital), both of South Carolina.  The defendants are charged with fraud and misappropriation in connection with the unlawful operation of a commodity pool that purported to trade leveraged or margined foreign currency (retail forex).  The CFTC complaint alleges fraudulent solicitation of at least 30 commodity pool participants, as well as the misappropriation of over $1.1 million of pool funds that defendants used to reimburse certain participants and for Carducci’s personal use, such as international travel, luxury automobiles, and student loan debt.

  • Remarks To The Economic Club Of New York, SEC Chairman Jay Clayton, New York, N.Y., Sept. 9, 2019

    Date 09/09/2019

    Thank you for having me and thanks to those who have contributed to today’s event—in particular, the Economic Club, Chair, Marie-Josée [Kravis], President, Barbara [Van Allen], as well as panelists Bob [Pisani] and Harold [Ford].

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