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US Federal Agencies Propose Guidance To Enhance Resolution Planning At Large Banks

Date 29/08/2023

The Federal Deposit Insurance Corporation and Federal Reserve Board today invited public comment on proposed guidance to help certain large bank holding companies further develop their Dodd-Frank Act Title I resolution plans.
Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Examination By Enforcement

Date 29/08/2023

I respectfully dissent from the order and settlement in the administrative proceeding In re Goldman Sachs & Co. LLC, because I believe that this enforcement action is fundamentally unfair, unjust, and does not best serve the public interest. Based on my review of the record, I believe that this enforcement action is wrong—we are not doing the right thing here on vendor issues arising out of the unprecedented move to remote work because of the COVID-19 pandemic, and I cannot support it.
Statement Of CFTC Commissioner Kristin N. Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties To Deter Repeated Compliance Failures

Date 29/08/2023

Today the Commodity Futures Trading Commission (the Commission or CFTC) announced and resolved charges against Goldman Sachs & Co. LLC (Goldman) for (i) failing to create and keep audio recordings related to its business as a swap dealer, as required under the Commodity Exchange Act (CEA) and existing CFTC regulations, and (ii) thus, violating a 2019 Commission cease-and-desist order for the same failure under the same statutory and regulatory provisions.
Verra Releases Version 4.5 Of The VCS Standard

Date 29/08/2023

Verra has published updates to the Verified Carbon Standard (VCS) Program. The changes in version 4.5 of the VCS Standard (PDF) and updated versions of associated VCS Program documents will strengthen the program’s usability, transparency, and integrity, and align it with major global carbon markets initiatives, such as the Integrity Council for the Voluntary Carbon Market (ICVCM) and the Carbon Offsetting Reduction Scheme for International Aviation (CORSIA).
MIAX Options And MIAX Emerald Options - Change To Opening And Intra-day Quote Width Requirements For Certain Symbols Effective September 1, 2023

Date 29/08/2023

MIAX Options and MIAX Emerald Options will expand the maximum valid bid/ask differentials for Market Makers for certain symbols traded on the Exchanges. The expanded bid/ask differentials for the symbols will be in effect beginning Friday, September 1, 2023.

FINRA Foundation And AFCPE Announce 2023 FINRA Foundation Military Spouse Fellows - Fellowship Program Grants Military Spouses The Opportunity To Achieve The AFC Credential And Help Address Unique Financial Circumstances In Military Communities

Date 29/08/2023

The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse Fellowship.
Dissenting Statement Of CFTC Commissioner Caroline D. Pham On CTA Interpretation In An Enforcement Action

Date 29/08/2023

I respectfully dissent from the Consent Order in CFTC v. Cartu (Masten et al.), because the Commission seems to be once again changing its interpretation of the definition of a “commodity trading advisor” (CTA) in an enforcement action without sufficient explanation and without the opportunity for the public to comment. New registration requirements have widespread impact on the industry and should not be imposed on the public unless the Commission has examined the issue thoroughly with adequate data and analysis. This is not merely regulation by enforcement—this is regulation by fiat. Such a broad proclamation is the act of kings, not of a free democracy.
CFTC: Federal Court Orders Texas Trading Advisor And Owner To Pay $100,000 Penalty For Registration Violations

Date 29/08/2023

The Commodity Futures Trading Commission today announced the U.S. District Court for the Western District of Texas entered a consent order for permanent injunction, monetary sanctions, and equitable relief against BareIt Media LLC and its owner Ryan Masten. The order requires the defendants to pay a $100,000 civil monetary penalty and permanently enjoins them from operating as commodity trading advisors (CTA) or associated persons (AP) of a CTA without first registering with the CFTC as required in the Commodity Exchange Act and CFTC regulations.
Frenzy In Nigerian Capital Market As NGX All-Share Index Hits 15-Year High

Date 29/08/2023

The Nigerian capital market was euphoric at the close of trading on Tuesday as the market hit a 15-year high. The All-Share Index (ASI) of Nigerian Exchange Limited (NGX) rose by 0.51% to 66,490.34 points from 66,151.38 the previous day, surpassing the highest value of 66,371.20 recorded on the Exchange on March 5, 2008.
CFTC Orders Goldman Sachs To Pay $5.5 Million For Recordkeeping Violations And Violating A Prior Commission Order

Date 29/08/2023

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. The order finds Goldman violated the cease-and-desist provision of a prior order and committed recordkeeping violations in connection with its failure to properly record and retain certain audio files. [See CFTC Press Release No. 8086-19]