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SEC Charges Former Chairman And CEO Of Tech Co. Kubient With Fraud And Lying To Auditor - Former CFO And Audit Committee Chair Also Charged
Date 16/09/2024
The Securities and Exchange Commission today filed charges against Paul D. Roberts, the former Chair, CEO, and president of Kubient Inc.; Joshua A. Weiss, the company’s former chief financial officer; and Grainne M. Coen, the company’s former audit committee chair, for their roles in a scheme in which Kubient overstated and misrepresented its revenue in connection with two public stock offerings.
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Omakase: Statement On In The Matter Of Flyfish Club, LLC, SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda, Sept. 16, 2024
Date 16/09/2024
For curmudgeonly commissioners like us, crypto enforcement feels a bit like a trip to a restaurant for a meal, Omakase style. Omakase translates to, “I’ll leave it up to you.” This directive is wonderful in the hands of a renowned chef, but disastrous in the hands of a crypto-obsessed Commission. Leaving crypto to be addressed in an endless series of misguided and overreaching cases has been and continues to be a consequential mistake. By its very nature, Omakase dining requires a deep level of trust. Americans should be able to extend a similar trust to our regulators. Today’s settled enforcement action with Flyfish Club for its sale of non-fungible tokens (“NFTs”) is just the latest dish that undermines trust in Chef SEC. Accordingly, we dissent.
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CFTC To Hold A Commission Open Meeting September 20
Date 16/09/2024
Commodity Futures Trading Commission Chairman Rostin Behnam today announced the Commission will hold an open meeting on Friday, September 20 at 10:00 a.m. (EDT) at the CFTC’s Washington, D.C. headquarters. Members of the public can attend the meeting in person, listen by phone, or view a live stream at CFTC.gov.
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Ontario Securities Commission Seeks Applications For Investor Advisory Panel
Date 16/09/2024
The Ontario Securities Commission (OSC) is inviting applications for membership on its independent Investor Advisory Panel (IAP), an advisory committee to the OSC that provides the primary retail investor perspective on policy, rule-making and other regulatory initiatives.
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ETFGI Reports Assets Invested In The ETFs Industry In The United States Reached A New Record High Of 9.74 Trillion US Dollars At The End Of August
Date 16/09/2024
ETFGI, a prominent independent research, events and consultancy firm specializing in providing subscription research on trends in the global ETFs industry, reports assets invested in the ETFs industry in the United States reached a new record high of US$9.74 trillion at the end of August. The industry gathered net inflows of US$66.31 billion during August, bringing year-to-date net inflows to a record US$643.52 billion, according to ETFGI's August 2024 US ETFs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
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CFTC Commissioner Pham To Keynote At Exchequer Club Of Washington, DC
Date 16/09/2024
WHAT:
Commissioner Caroline D. Pham will deliver keynote remarks at a meeting of the Exchequer Club of Washington, DC.
WHEN:
Wednesday, September 18, 2024
1:00 p.m. (EDT)WHERE:
The Mayflower Hotel
East Ballroom
1127 Connecticut Avenue, NW
Washington DC 20036 -
Eurex Clearing AG Participates In Project Agorá
Date 16/09/2024
Eurex Clearing AG is excited to announce its participation in Project Agorá.
Project Agorá, launched by the Bank for International Settlements (BIS), a group of leading central banks, and the Institute of International Finance (IIF), will proceed to the next phase with more than 40 private sector financial firms in their exploration of how tokenization can enhance wholesale cross-border payments.
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ETFGI Reports 28 Of The Top 50 Overseas Securities Purchased By Korean Retail Investors In August Were ETFs Listed In The United States And Japan
Date 16/09/2024
ETFGI, a prominent independent research, events and consultancy firm specializing in providing subscription research on trends in the global ETFs industry, reported today that in August, 28 of the top 50 overseas securities purchased by Korean retail investors were ETFs listed in the United States and Japan. The number of ETFs on the list increased by 1 from 27 in July 2024, it is up by 2 from 26 in June 2024, and it is up by 5 from 23 in May 2024. (All dollar values in USD unless otherwise noted)
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CFTC Commissioner Pham To Speak At Georgetown University’s Financial Markets Quality Conference
Date 16/09/2024
WHAT:
Commissioner Caroline D. Pham will speak at a regulatory roundtable discussion on capital markets and innovation at Georgetown University’s 2024 Financial Markets Quality Conference.
WHEN:
Tuesday, September 17, 2024
3:00 p.m. (EDT)WHERE:
Georgetown University Main Campus
Hariri Building
Lohrfink AuditoriumAdditional Information: Financial Markets Quality Conference - Psaros Center for Financial Markets and Policy
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Updated MIAX Sapphire Options BD Form U4 Registrations - The New Auto-Registration Date Is September 23, 2024
Date 16/09/2024
Newly approved MIAX Sapphire Broker-Dealer firms that also maintain an approved membership in the MIAX Options Exchange will have their firm’s Individual Form U-4 registrations auto-copied in FINRA’s WebCRD from MIAX Options to MIAX Sapphire on September 23, 2024, instead of the previous date of September 16, 2024.
