FTSE Mondo Visione Exchanges Index:
News Centre
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SEC Files Settled Charges Against Three StraightPath Sales Agents For Unregistered Broker Activity
Date 12/09/2024
The Securities and Exchange Commission today announced settled charges against three sales agents from StraightPath Venture Partners—Anthony Guarino, Robert Seropian, and Frank Vecchio—for unregistered broker activity, including selling membership interests in LLCs that purported to invest in shares of pre-IPO companies. Vecchio also settled the SEC’s previously announced fraud charges against him.
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SEC Investor Advisory Committee To Discuss Investment Advice And Key Topics From Securities Litigation At Sept. 19 Meeting
Date 12/09/2024
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website.
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Supporting Statement Of CFTC Commissioner Summer K. Mersinger Regarding The Final Amendments To Regulation 4.7
Date 12/09/2024
Today, the Commission achieved balance in adopting the amendments to Regulation 4.7 and for that reason I can support this final rule. I would like to thank the staff in the Market Participants Division for their hard work on this rulemaking effort and for their consideration of my suggestions and comments throughout this process.
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CFTC Approves Final Rule Regarding Exemptions From Certain Compliance Requirements For Commodity Pool Operators, Commodity Trading Advisors, And Commodity Pools
Date 12/09/2024
The Commodity Futures Trading Commission today published a final rule that amends CFTC Regulation 4.7, a provision that provides exemptions from certain compliance requirements for commodity pool operators (CPOs) regarding commodity pool offerings to qualified eligible persons (QEPs) and for commodity trading advisors (CTAs) regarding trading programs advising QEPs.
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Canadian Securities Regulators Publish Derivatives Business Conduct Rule FAQs
Date 12/09/2024
The Canadian Securities Administrators (CSA) today published CSA Staff Notice 93-302 Frequently Asked Questions about National Instrument 93-101 Derivatives: Business Conduct (the FAQs) to address frequently asked questions from derivatives market participants related to National Instrument 93-101 Derivatives: Business Conduct (NI 93-101), which comes into force on September 28, 2024.
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CFTC Charges Unregistered Florida Commodity Pool Operator And Its Chief Executive Officer With Futures Fraud
Date 12/09/2024
The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Middle District of Florida against Aureus Revenue Group LLC (Aureus), a Florida entity, and its owner and chief executive officer, Emir Jesus Matos Camargo (Matos) of Orlando, Florida. The complaint alleges they operated a fraudulent scheme in which they solicited at least $1.5 million from pool participants to invest in a commodity pool. They also misappropriated pool participant funds by paying Matos personal expenses and paying some pool participants using funds from other pool participants, in the manner of a Ponzi scheme.
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US Office Of The Comptroller Of The Currency Issues Enforcement Action Against Wells Fargo Bank
Date 12/09/2024
The Office of the Comptroller of the Currency (OCC) today entered into a Formal Agreement with Wells Fargo Bank, N.A.
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SEC Investor Advisory Committee To Discuss Investment Advice And Key Topics From Securities Litigation At Sept. 19 Meeting
Date 12/09/2024
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website.
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FINRA Announces Results Of Board Of Governors Elections - Firms Elect John Vaccaro As Large Firm Governor And Jennifer Szaro As Small Firm Governor - James Crowley Re-Elected As Mid-Size Firm Governor
Date 12/09/2024
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday.
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SIFMA, ICI, And DTCC Release “T+1 After Action Report” Industry Coordination Led To Successful Transition, Reducing Risk And Costs In The System
Date 12/09/2024
The Securities Industry and Financial Markets Association (SIFMA), Investment Company Institute (ICI), and The Depository Trust & Clearing Corporation (DTCC) today released the “T+1 After Action Report,” which reviews the general project timeline for the shortened settlement cycle, including its key milestones and achievements. It also discusses several of the obstacles overcome in the three-plus year transition, the groundswell of global participation with the U.S. move, and some of the initial data points and positive impacts of the shift.
