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  • Statement Of CFTC Division Of Enforcement Director Ian McGinley On The Ooki DAO Litigation Victory

    Date 09/06/2023

    Today, CFTC Division of Enforcement Director Ian McGinley released the following statement on the CFTC’s sweeping victory in the Ooki DAO litigation. Last night, U.S. District Judge William H. Orrick entered a default judgement order that requires the defendant Ooki DAO, a decentralized autonomous organization that the CFTC charged with operating an illegal trading platform and unlawfully acting as a futures commission merchant (FCM), to pay a civil monetary penalty of $643,542; orders permanent trading and registration bans; and orders the Ooki DAO, as well as any third party providing web-hosting or domain-name registration services to shut down the Ooki DAO’s website and remove its content from the Internet.  Critically, in a precedent-setting decision, the court held that the Ooki DAO is a “person” under the Commodity Exchange Act and thus can be held liable for violations of the law.  The court then held that the Ooki DAO did, in fact, violate the law as charged.

  • CFTC Commitments Of Traders Reports Update

    Date 09/06/2023

    The current reports for the week of June 06, 2023 are now available. Report data is also available in the CFTC Public Reporting Environment (PRE), which allows users to search, filter, customize and download report data.

  • US Office Of The Comptroller Of The Currency Requests Comment For Survey On Trust In Banking

    Date 09/06/2023

    The Office of the Comptroller of the Currency (OCC) today announced a request for information to gather input on a proposed annual trust survey with the goal of understanding, measuring, and tracking the public’s trust in banking and bank supervision by the OCC and other banking regulators over time.

  • CFTC Commissioner Goldsmith Romero To Give Opening Remarks At A Roundtable On Operational Resilience At FIA International Derivatives Expo 2023

    Date 09/06/2023

    WHAT:

     

    Commissioner Christy Goldsmith Romero will provide Opening Remarks at a Roundtable on Operational Resilience as part of FIA’s International Derivatives Expo 2023.

    WHEN:

     

    Tuesday, June 20, 2023

    3:00 p.m. – 4:00 p.m. (London/BST)
    10:00 a.m. – 11:00 a.m. (USA/EST)

    WHERE:

     

     

    Park Plaza Westminster Bridge London
    200 Westminster Bridge Rd
    London, UK, SE1 7UT

    More Information here:  International Derivatives Expo | FIA

  • Statement Regarding In the Matter Of DF Growth REIT II, LLC, SEC Commissioner Mark T. Uyeda, June 9, 2023

    Date 09/06/2023

    This matter involves a settlement with DF Growth REIT II, LLC (the “Trust”) relating to the Trust’s purported reliance on the Regulation A exemption from registration under the Securities Act of 1933. The Order[1] finds that the Trust failed to comply with the requirements of Regulation A, including Rule 251(d)(3)(i)(F), which governs continuous offerings under the exemption. I write separately to express my view that the Order, while expressing sufficient facts to support a violation of this rule, should not be read as expanding the requirements of the rule.

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