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News Centre
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SEC Charges Elon Musk For Violating The Beneficial Ownership Reporting Requirements Of The Federal Securities Laws
Date 14/01/2025
The Securities and Exchange Commission announced today that it has filed an action against Elon Musk alleging that he failed to timely file a beneficial ownership report with the Commission after acquiring beneficial ownership of more than five percent of the outstanding shares of Twitter, Inc. common stock, in violation of the beneficial ownership reporting requirements under the Securities Exchange Act of 1934 (“Exchange Act”). According to the SEC’s complaint, Musk saved at least $150 million at the expense of Twitter shareholders by failing to timely file the beneficial ownership report.
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US Office Of The Comptroller Of The Currency Imposes Civil Money Penalties Against Three Former Executives Of Wells Fargo
Date 14/01/2025
The Office of the Comptroller of the Currency (OCC) today announced enforcement actions against three former senior executives of Wells Fargo Bank, N.A., Sioux Falls, South Dakota (bank). These actions were taken in response to the former executives’ unsafe or unsound banking practices related to the bank’s systemic and widespread sales practices misconduct.
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CFTC’s Review Of Nadex Sports Contract Submissions
Date 14/01/2025
The Commodity Futures Trading Commission today notified the North American Derivatives Exchange, Inc. (Nadex) d/b/a Crypto.com it will initiate a review of the two sports contracts that were self-certified and submitted to the CFTC on Dec. 19, 2024. As described in the submissions, the contracts are cash-settled, binary contracts.
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SEC Announces Chief Accountant Paul Munter To Retire From Federal Service This Month
Date 14/01/2025
The Securities and Exchange Commission today announced that Chief Accountant Paul Munter plans to retire from federal service effective Jan. 24, 2025. Mr. Munter joined the agency in 2019, was named Acting Chief Accountant in 2021, and was appointed Chief Accountant in January 2023.
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US Federal And State Financial Regulatory Agencies Issue Interagency Statement On Supervisory Practices Regarding Financial Institutions Affected By The California Wildfires And Straight-Line Winds
Date 14/01/2025
The California Department of Financial Protection and Innovation, the Federal Deposit Insurance Corporation, the Federal Reserve Board, the National Credit Union Administration, and the Office of the Comptroller of the Currency, collectively the agencies, recognize the serious impact of the California wildfires and straight-line winds on the customers and operations of many financial institutions and will provide appropriate regulatory assistance to affected institutions subject to their supervision. The agencies encourage institutions operating in the affected areas to meet the financial services needs of their communities.
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US Treasury Releases New Analysis Highlighting The U.S. Economy’s Historic Post-Pandemic Recovery Driven By The Biden Administration’s Policy Agenda
Date 14/01/2025
Today, the U.S. Department of the Treasury’s Office Economic Policy released an analysis showing that the United States has done remarkably well in the recovery from the pandemic recession, driven by President Biden’s policy response. Under the Biden-Harris Administration, the United States has had the strongest growth and employment creation of any advanced country, brought inflation back down, and achieved a soft landing, defying many forecasts and predictions. This all happened amid the fairest recovery on record, as rural communities, households of color, and historically overlooked places have seen significant gains.
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SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures To Investors - Advisory Firm VCP Financial Separately Settles Charges For Requiring Retail Clients To Improperly Execute Liability Disclaimers
Date 14/01/2025
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting as unregistered brokers in selling membership interests in LLCs that purported to invest in shares of pre-IPO companies. The SEC also announced settled charges against VCP Financial LLC stemming from its use of impermissible liability disclaimers in a letter it required retail clients to execute when investing in private funds managed by an affiliated entity.
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Three Investment Adviser Representatives Settle SEC Charges For Acting As Unregistered Brokers - Advisory Firm VCP Financial Separately Settles Charges For Requiring Retail Clients To Improperly Execute Liability Disclaimers
Date 14/01/2025
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr. for acting as unregistered brokers in selling membership interests in LLCs that purported to invest in shares of pre-IPO companies. The SEC also announced settled charges against VCP Financial LLC stemming from its use of impermissible liability disclaimers in a letter it required retail clients to execute when investing in private funds managed by an affiliated entity.
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EU Funds Continue To Reduce Costs – At Low And Varying Pace
Date 14/01/2025
The European Securities and Markets Authority (ESMA), the EU financial markets regulator and supervisor, today publishes its seventh market report on the costs and performance of EU retail investment products, showing a decline in the costs of investing in key financial products.
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MIAX Exchange Group - Holiday Schedule - Martin Luther King Jr. Day 2025
Date 14/01/2025
Please be advised the MIAX Options Exchange, MIAX Pearl Options Exchange, MIAX Emerald Options Exchange, MIAX Sapphire Options Exchange and MIAX Pearl Equities Exchange will be closed on Monday, January 20, 2025 in observance of Martin Luther King Jr. Day.
