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Date 17/11/2021
Date 17/11/2021
The Commodity Futures Trading Commission today announced that Judge Darrin P. Gayles of the U.S. District Court for the Southern District of Florida issued orders granting permanent injunctions against Daniel Fingerhut, a resident of Miami, Florida, and Itay Barak, Tal Valariola and Digital Platinum Limited (DPL), residents of Israel, and requiring them to pay a combined $7 million in disgorgement and civil monetary penalties for violations of the Commodity Exchange Act (CEA) and CFTC regulations. The orders also impose permanent trading and registration bans on Fingerhut, Barak and Valariola, among other injunctive relief.
Date 17/11/2021
Thank you for that kind introduction. It’s good to be here for the seventh annual U.S. Treasury Market Conference. Thank you to the conference organizers and my colleagues across the Inter-agency Working Group on Treasury Market Surveillance (IAWG) for putting together this event. As is customary, I’d like to note that I’m not speaking on behalf of my fellow Commissioners or the SEC staff.
Date 17/11/2021
The Investment Industry Regulatory Organization of Canada (IIROC) welcomes the Government of Newfoundland and Labrador's passage of Bill 16, An Act to Amend the Securities Act, that strengthens investor protection, and safeguards seniors and vulnerable retail investors.
Date 17/11/2021
Thank you Carla [Garrett] and all members of the Small Business Capital Formation Committee. It’s good to be with you again. I thank you for your continued dedication to small businesses in America. I’d like to note I’m not speaking on behalf of the Commission or the SEC staff.
Date 17/11/2021
Thank you to the staff in the Division of Corporation Finance, Division of Economic and Risk Analysis, and the Office of the General Counsel for their exceptional and thoughtful work in advance of today’s meeting.
Date 17/11/2021
November 22, 2021
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WHAT: |
Commissioner Dawn D. Stump will participate in a fireside chat sponsored by the Derivatives and Futures Law Committee and the FinTech Regulation and Enforcement Committee of the D.C. Bar Corporation, Finance and Securities Law Community |
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WHEN: |
Monday, November 22, 2021 |
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WHERE: |
Virtual event. More information here: |
Date 17/11/2021
Congratulations to the rulemaking team from the Division of Corporation Finance, as well as the staff within the Division of Economic and Risk Analysis and the Office of the General Counsel. This rulemaking has been several years in the making,[1] and I am glad that we are here today to finalize it.
Date 17/11/2021
I cannot support today’s proposal. The Commission lacks a sound basis for seeking to amend a brand new rule. Nothing has changed since we adopted the rule, and we have not learned anything new. The release takes a stab at justifying the rewrite, but we might as well simply acknowledge that the political winds have shifted.
Date 17/11/2021
In recognition of the role Special Purpose Acquisition Companies (SPACs) play in catalyzing economic growth through public markets Nigeria and Africa, Nigerian Exchange Limited (NGX) hosted a webinar with the theme SPACs: An Alternative Route to Public Markets on Wednesday, 17 November 2021.
