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Supporting Statement Of Commissioner Dan M. Berkovitz Regarding Sunoco Enforcement Action And Opposing “Bad Actor” Waiver

Date 30/09/2020

I support the Commission’s enforcement against Sunoco LP for the spoofing of the crude oil, gasoline, and heating oil futures markets. However, I oppose the CFTC’s determination that Sunoco’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws. The CFTC has neither the authority to make this determination, nor the tools to adequately protect investors in the securities markets.
CFTC Orders Sunoco To Pay $450,000 For Spoofing In Crude Oil, Gasoline, And Heating Oil Futures Contracts

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Sunoco LP, a master limited partnership organized in Delaware and headquartered in Dallas, Texas, for spoofing—bidding or offering with the intent to cancel the bid or offer before execution.
Ontario Securities Commission Announces Activities For World Investor Week And Investor Education Month

Date 30/09/2020

The Ontario Securities Commission (OSC) today announced several investor education and outreach activities during World Investor Week and Investor Education Month in October. Ontarians are encouraged to participate virtually and learn about improving their finances and making informed investing decisions.
Federal Reserve Board Announces Approval Of Notice By Morgan Stanley

Date 30/09/2020

The Federal Reserve Board on Wednesday announced its approval of the notice under section 4 of the Bank Holding Company Act of 1956 and under section 163(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act by Morgan Stanley, New York, New York, to acquire E*TRADE Financial Corporation ("E*TRADE") and thereby indirectly acquire E*TRADE's subsidiary federal savings associations, E*TRADE Bank and E*TRADE Savings Bank, all of Arlington, Virginia.
CFTC Orders Texas Man To Pay Over $1 Million For Misappropriating Confidential Information, Fictitious Trading, And False Statements

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Marcus Schultz of Houston, Texas, for engaging in a fraudulent scheme to misappropriate his employer’s confidential information and enter into fictitious trades. Schultz is also charged with making false statements to the CFTC and ICE Futures US.

SEC Charges Hospitality Company For Failing To Disclose Executive Perks

Date 30/09/2020

The Securities and Exchange Commission today announced settled charges against Virginia-based hospitality company Hilton Worldwide Holdings Inc. for failing to fully disclose perquisites and personal benefits provided to executive officers. The action was generated by the Division of Enforcement’s use of risk-based data analytics to uncover potential violations related to corporate perquisites.
Federal Reserve Board Announces Approval Of Notice By The Toronto-Dominion Bank

Date 30/09/2020

The Federal Reserve Board on Wednesday announced its approval of the notice under section 4 of the Bank Holding Company Act of 1956 by The Toronto-Dominion Bank, Toronto, Canada, and its subsidiary, TD Group US Holdings LLC, Wilmington, Delaware, to acquire more than five percent of the voting shares of The Charles Schwab Corporation, San Francisco, California, a savings and loan holding company.
SEC Charges HP Inc. With Disclosure Violations And Control Failures

Date 30/09/2020

The Securities and Exchange Commission today announced charges against technology company HP Inc. for misleading investors by failing to disclose the impact of sales practices undertaken in an effort to meet quarterly sales and earnings targets. HP has agreed to pay $6 million to settle the charges.
Federal Reserve Board Announces It Will Extend For An Additional Quarter Several Measures To Ensure That Large Banks Maintain A High Level Of Capital Resilience

Date 30/09/2020

Due to the continued economic uncertainty from the coronavirus response, the Federal Reserve Board on Wednesday announced it will extend for an additional quarter several measures to ensure that large banks maintain a high level of capital resilience.
CFTC Swaps Report Update

Date 30/09/2020

CFTC's Weekly Swaps Report has been updated, and is now available.