News Centre

US Department Of Justice: Second Former Deutsche Bank Commodities Trader Sentenced To Prison For Fraud Scheme

Date 29/06/2021

A former commodities trader was sentenced Monday to 12 months and a day in prison for a scheme to commit wire fraud affecting a financial institution.

SEC Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds And Misappropriation Of Investor Funds

Date 29/06/2021

The Securities and Exchange Commission today announced charges against Matthew J. Skinner of Santa Clarita, California, and five entities he owns and controls – Empire West Equity Inc., Bayside Equity LP, Longacre Estates LP, Freedom Equity Fund LLC, and Simple Growth LLC – for conducting four unregistered and fraudulent real estate investment offerings between 2015 and 2020, through which he raised more than $9 million from over 100 investors. 

Ontario Securities Commission Publishes 2021-2022 Statement Of Priorities

Date 29/06/2021

The Ontario Securities Commission (OSC) today published its 2021-2022 Statement of Priorities,  which outlines 20 priority areas on which the OSC will focus resources and actions over the coming fiscal year, as well as the expected outcomes.

SEC Appoints New Jersey Attorney General Gurbir S. Grewal As Director Of Enforcement

Date 29/06/2021

The Securities and Exchange Commission today announced that Gurbir S. Grewal has been appointed Director of the Division of Enforcement, effective July 26, 2021. Grewal currently serves as Attorney General for the State of New Jersey, a role he has held since January 2018, when he was confirmed by the New Jersey State Senate after being nominated by Governor Phil Murphy.

Opening And Intra-Day Quote Width Requirements And MIAX Order Monitor Settings For Certain Symbols Trading On MIAX Options And MIAX Emerald Beginning Thursday, July 1, 2021 Through Thursday, September 30, 2021

Date 29/06/2021

MIAX Options and MIAX Emerald have extended the Opening and Intra-day Quote Width requirements for certain symbols traded on the exchanges through Thursday, September 30, 2021. Please refer to the following for further details.

• MIAX Options Regulatory Circular 2021-34
• MIAX Emerald Regulatory Circular 2021-31

Statement Regarding Neovest, Inc., SEC Commissioner Hester M. Peirce, June 29, 2021

Date 29/06/2021

A majority of the Commission has found that Neovest, Inc. violated Section 15(a)(1) of the Exchange Act of 1934 by failing to register as a broker.

Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With Finance Minister Of India Nirmala Sitharaman

Date 29/06/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with Finance Minister of India Nirmala Sitharaman. Secretary Yellen discussed that the United States and India have a shared interest in implementing a robust global minimum tax. The Secretary stressed the importance of partnership with India in the G20 and OECD to seize a once-in-a-generation opportunity to remake the international tax system to help the global economy thrive.

Moscow Exchange: Risk Parameters On Securities Market

Date 29/06/2021

CCP NCC sets the following risk parameters on Securities market starting from June 30, 2021:

Keynote Address Of CFTC Commissioner Dawn D. Stump: Back To The Future – The Year 1999

Date 29/06/2021

Overview

The Greek philosopher Heraclitus is credited with the oft-cited saying that change is the only constant in life.  This idea seems particularly pertinent to our financial markets—which probably explains why I have been asked to speak today about how regulators adapt to changing market structure.  Before I begin, though, please allow me to remind you that the views I express today in these remarks are my own and do not represent the views of the Commodity Futures Trading Commission (CFTC or Commission) or my fellow Commissioners.

Moscow Exchange: Risk Parameters Change For The Securities

Date 29/06/2021

The following risk parameters will be changed: