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CFTC Orders Interactive Brokers LLC To Pay A $1.75 Million Penalty For Supervision Failures - Failures For Electronic Trading System’s Inability To Handle Negative Crude Oil Futures Prices On April 20, 2020

Date 28/09/2021

The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant, for failing to diligently supervise the handling of its customer accounts by not adequately preparing and configuring its electronic trading system to receive negative prices and calculate margin on April 20, 2020, in violation of CFTC Regulation 166.3.
SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"

Date 28/09/2021

The Securities and Exchange Commission's Atlanta Regional Office and the University of Georgia School of Law will co-host a panel discussion on "Money and Markets: Trends and Risks for Retail Investors" on Thursday, Oct. 5, 2021, from 5-6:15 p.m. ET.
Creating A New Model For The Future Of Supervision - Federal Reserve Governor Michelle W. BowmanAt The Community Banking In The 21st Century Research And Policy Conference, St. Louis, Missouri (Virtual Conference)

Date 28/09/2021

Good afternoon. I'm pleased to be able to join you again virtually for this year's Community Banking in the 21st Century research and policy conference. Although I think we would all prefer to be together in person, in the shadow of the St. Louis Arch, I'm optimistic that next year (which will be the 10th anniversary of the conference, by the way) will give us the opportunity to finally gather in person after a two-year hiatus.
SEC Obtains Emergency Relief Against New York Real Estate Developer Charged With EB-5 Securities Fraud

Date 28/09/2021

The Securities and Exchange Commission today announced that it filed an emergency action and obtained an asset freeze, among other relief, against Richard Xia (aka Yi Xia) and his company, Fleet New York Metropolitan Regional Center LLC (formerly known as Federal New York Metropolitan Regional Center LLC), for committing securities fraud in connection with two real estate projects in Queens, New York.
CFTC Orders Nevada Man And His Company To Pay $374,000 For Fraudulent Solicitation And Misappropriation In Forex Scheme

Date 28/09/2021

The Commodity Futures Trading Commission today issued an order filing and settling charges against Cody Ryan Porter of Nevada and his company KatchPips FX LLC, a Nevada limited liability company, for misappropriating customer funds and for fraudulently soliciting more than $200,000 from over 18 individuals to invest in a forex commodity pool.

SEC Bars Two Individuals From Whistleblower Award Program

Date 28/09/2021

The Securities and Exchange Commission today announced that it has barred two individuals from the SEC's whistleblower award program, each of whom filed hundreds of frivolous award applications. The bars were issued pursuant to the 2020 amendments to the Whistleblower Program Rules, which were designed to allow the whistleblower program to operate more effectively and efficiently and to focus on good faith whistleblower submissions.
MIAX Exchange Group - Options & Equities Markets - Reminder: Reg SCI / SIFMA BCP Testing On Saturday, October 23, 2021

Date 28/09/2021

Overview:

As previously announced in the April 12th and September 2nd Alerts, the MIAX Exchange Group will be participating in the 2021 SIFMA BCP Testing on Saturday, October 23, 2021. All members that are required to test with MIAX Options, MIAX Pearl Options, MIAX Emerald Options and/or MIAX Pearl Equities Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) have been notified. However, all members are encouraged to test.
Element22’s Pellustro® To Support EDM Council’s Cloud Data Management Capabilities

Date 28/09/2021

Element22 is proud to announce that its Pellustro® cloud-based assessment and benchmarking platform supports the EDM Council’s Cloud Data Management Capabilities (CDMC) framework. The Pellustro® platform is optimized to assess risk, maturity, and compliance.
Bank Of England: Minutes Of The Post-Trade Task Force Meeting – September 2021

Date 28/09/2021

The Bank of England is an observer on the Post-Trade Task Force, an industry working group that aims to catalyse reform in post-trade.
Dan Berkovitz Named SEC General Counsel; John Coates To Leave SEC

Date 28/09/2021

The Securities and Exchange Commission today announced that Commodity Futures Trading Commission (CFTC) Commissioner Dan Berkovitz has been named SEC General Counsel, effective Nov. 1. John Coates will leave the agency in October and return to teaching at Harvard University. Michael Conley, currently the SEC's Solicitor, will serve as Acting General Counsel upon Coates's departure until Berkovitz joins the agency.