FTSE Mondo Visione Exchanges Index: 99,872.61 +125.04
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Nasdaq To Hold Third Quarter 2024 Investor Conference Call
Date 23/09/2024
Nasdaq (Nasdaq: NDAQ) has scheduled its third quarter 2024 financial results announcement.
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SEC: Advisory Firm Atom Investors, Charged With Recordkeeping Violations, Avoids Civil Penalty Because Of Self-Reporting, Substantial Cooperation, And Prompt Remediation
Date 23/09/2024
The Securities and Exchange Commission today announced charges against Texas-based registered investment adviser Atom Investors LP for its failure to maintain and preserve off-channel communications in violation of the recordkeeping provisions of the federal securities laws. The Commission did not impose a penalty because Atom Investors self-reported the conduct, promptly remediated the violations, and provided substantial cooperation to Commission staff in an investigation of another entity.
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CFTC Orders Illinois Futures Commission Merchant To Pay More Than $980,000 For Supervision Failures
Date 23/09/2024
The Commodity Futures Trading Commission today issued an order filing and settling charges against NinjaTrader Clearing, LLC dba NinjaTrader, Tradovate and TransAct Futures (NTC), a registered Futures Commission Merchant that operates out of Deer Park, Illinois.
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Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Off-Channel Communications Enforcement Action
Date 23/09/2024
Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s settlement order regarding Piper Sandler Hedging Services LLC:
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Dissenting Statement Of CFTC Commissioner Summer K. Mersinger Regarding Settlement With Piper Sandler Hedging Services, LLC
Date 23/09/2024
I respectfully dissent from the Commission’s enforcement action settling charges against Piper Sandler Hedging Services, LLC (“Piper Sandler” or “Respondent”).
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CFTC Orders Piper Sandler To Pay $2 Million For Recordkeeping And Supervision Failures For Firm-Wide Use Of Unapproved Communication Methods
Date 23/09/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Piper Sandler Hedging Services LLC, an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its business as a CFTC registrant.
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CFTC Commissioners Pham & Mersinger To Keynote At DACOM NYC 2024
Date 23/09/2024
WHAT:
Commissioners Caroline D. Pham and Summer K. Mersinger will participate in a keynote fireside chat titled “The Power of Dissent and the Future of Crypto Regulation” at DACOM New York 2024, the Digital Asset Compliance & Market Integrity Summit.
WHEN:
Wednesday, September 25, 2024
2:00 p.m. (ET)WHERE:
Hogan Lovells
390 Madison Street
New York, NY 10017
Additional Information: The Digital Asset Compliance & Market Integrity Summit -
MIAX Exchange Group - Options Markets - Member Firm Portal (MFP) Bulk Trade Corrections Issue
Date 23/09/2024
Please be advised that the ability to make Bulk Trade Corrections will be unavailable for the remainder of the day in the Member Firm Portal (MFP) for the MIAX Options, MIAX Pearl Options, MIAX Emerald Options and MIAX Sapphire Options Exchanges. Single Trade Corrections are processing normally. Bulk Trade Corrections will be available for trading on Tuesday, September 24, 2024.
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CFTC Chairman Behnam To Participate In A Fireside Chat At The 2024 Treasury Market Conference In NYC
Date 23/09/2024
WHAT:
Chairman Rostin Behnam will participate in a fireside chat at the 2024 Treasury Market Conference in New York City.
WHEN:
Thursday, September 26, 2024
2:35 p.m. – 3:05 p.m. (ET)WHERE:
The Federal Reserve Bank of New York
33 Liberty Street
New York, NY 10045
Additional information: The 2024 U.S. Treasury Market Conference - FEDERAL RESERVE BANK of NEW YORK (newyorkfed.org) -
Joint Trade Association Statement On EMIR 3.0 Effective Implementation Dates
Date 23/09/2024
On September 23, ISDA, the Alternative Investment Management Association (AIMA), the European Banking Federation (EBF), the European Fund and Asset Management Association (EFAMA) and FIA sent a letter urging the European Commission and European supervisory authorities to clarify that market participants are not required to implement the European Market Infrastructure Regulation (EMIR 3.0) Level 1 provisions prior to the date of application of the associated Level 2 regulatory technical standards (RTS).
