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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]

Grayscale Investments® Prevails In Lawsuit Against The SEC To Convert GBTC To An ETF

Date 29/08/2023

Grayscale Investments®, the world’s largest digital currency asset manager, today announced the D.C. Circuit Court of Appeals ruled in Grayscale’s favor in its lawsuit challenging the decision by the Securities and Exchange Commission (SEC) to deny conversion of Grayscale Bitcoin Trust (BTC) (OTCQX: GBTC) to an ETF*.
ACER Consults On The Harmonised Allocation Rules For Long-Term Electricity Transmission Rights

Date 29/08/2023

On 1 March 2023, Transmission System Operators (TSOs) submitted to ACER their proposal for amendments to the Harmonised Allocation Rules (HAR) for long-term electricity transmission rights. In addition to this proposal, TSOs submitted to ACER their proposal for amending the HAR provisions on collaterals on 1 August 2023.
Finansinspektionen: Planned Maintenance Of The TRS 2-Systems Test Environment

Date 29/08/2023

The TRS 2 system's test environment will be closed for maintenance on Wednesday, 6 September.
ETFGI Reports Crypto ETFs And ETPs Listed Globally Gathered Net Inflows Of US$356 Million During July

Date 29/08/2023

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs ecosystem, reported today that Crypto ETFs and ETPs listed globally gathered net inflows of US$356 million during July. The US$356 Mn of net inflows gathered during July, brings year-to-date net inflows to $598 Mn, which is lower than $794 Mn in net inflows at this point last year. Assets invested in Crypto ETFs and ETPs listed globally have increased 58.4% year-to-date in 2023 going from US$5.79 Bn at end of 2022 to $9.18 Bn at the end of July, according to ETFGI’s July 2023 ETF and ETP Crypto industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports

Date 29/08/2023

The Securities and Exchange Commission today announced charges against Archipelago Trading Services Inc. (ATSI) for failing to file hundreds of legally required reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), between August 2012 and September 2020. The charges were related to transactions in over-the-counter (OTC) securities executed on ATSI’s alternative trading system (ATS). ATSI, a Chicago-based broker-dealer, has agreed to pay $1.5 million to settle the charges.