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Elon Musk Charged With Securities Fraud For Misleading Tweets

Date 27/09/2018

The Securities and Exchange Commission today charged Elon Musk, CEO and Chairman of Silicon Valley-based Tesla Inc., with securities fraud for a series of false and misleading tweets about a potential transaction to take Tesla private.
SEC Charges Bitcoin-Funded Securities Dealer And CEO

Date 27/09/2018

The Securities and Exchange Commission today filed charges against an international securities dealer and its Austria-based CEO for allegedly violating the federal securities laws in connection with security-based swaps funded with bitcoins.
CFTC Charges Trading Platform With Illegal Transactions Margined In Bitcoin, Failing To Implement Procedures To Prevent Money-Laundering, And Failing To Register With The CFTC

Date 27/09/2018

The Commodity Futures Trading Commission (CFTC) today filed a civil enforcement action in the U.S. District Court for the District of Columbia against Defendants 1pool Ltd. (1pool), and its chief executive officer and owner, Patrick Brunner of Austria. The CFTC’s Complaint charges the Defendants with engaging in unlawful retail commodity transactions, failing to register as a Futures Commission Merchant (FCM), and supervisory violations for failing to implement procedures to prevent money laundering as required under federal laws and regulations.
Brief Remarks On The U.S. Economy, Federal Reserve Chairman Jerome H. Powell At Rhode Island Business Leaders Day, Washington, D.C.

Date 27/09/2018

Good afternoon. Thank you, Senator Reed, for the kind words and the opportunity to be a part of the annual Rhode Island Business Leaders Day. And thank you, all, for sticking with the program for the last speaker of the day. The Federal Open Market Committee, the body within the Federal Reserve that sets monetary policy, just concluded a meeting yesterday. I plan to talk briefly about how my colleagues and I see the economy evolving and our role in keeping it healthy. Importantly, I want to hear from you. I very much appreciate your views, as business people, of economic conditions where you live and work. And, of course, I will be happy to respond to questions.
CFTC Charges Futures Trader With Cross-Exchange Manipulation

Date 27/09/2018

The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Davis Ramsey, a Florida-based futures trader, for employing a manipulative scheme to influence the prices of certain futures contracts traded on the Chicago Mercantile Exchange, Inc. (CME) and Commodity Exchange, Inc. (COMEX), both Designated Contract Markets operated by the CME Group, Inc. (CME Group), to impact the outcome of related binary contracts traded on the North American Derivatives Exchange (Nadex).

U.S. Department Of Justice: Petróleo Brasileiro S.A. – Petrobras Agrees To Pay More Than $850 Million For FCPA Violations - Reaches Agreement With Brazilian Authorities In Related Investigation

Date 27/09/2018

Petrobras (Petrobras), a Brazilian state-owned and state-controlled energy company, entered into agreements with U.S. and Brazilian authorities and agreed to pay a combined total of $853.2 million in penalties to resolve the U.S. government’s investigation into violations of the Foreign Corrupt Practices Act (FCPA) in connection with Petrobras’s role in facilitating payments to politicians and political parties in Brazil, as well as a related Brazilian investigation.
CFTC Files Nine Enforcement Actions Addressing Fraudulent Binary Options Solicitations And One Addressing Cross-Exchange Manipulation

Date 27/09/2018

The Commodity Futures Trading Commission (CFTC) issued seven orders today filing and simultaneously settling charges against various respondents, and also filed two complaints against various defendants, for violations of the Commodity Exchange Act (CEA) and Commission Regulations (Regulations) relating to fraudulent binary options solicitations, and one order filing and simultaneously settling charges for violations of the Act and Regulations relating to cross-exchange manipulation, as set forth below and as more fully described in the related press releases linked below.
FINRA Launches New SIE Exam To Streamline Examination Process For Prospective Candidates Entering The Securities Industry

Date 27/09/2018

Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities industry.
Canadian Securities Regulators Release Fourth Review Regarding Women On Boards And Executive Officer Positions

Date 27/09/2018

Securities regulatory authorities in Alberta, Manitoba, New Brunswick, Nova Scotia, Ontario, Quebec and Saskatchewan (the participating jurisdictions) today published CSA Multilateral Staff Notice 58-310 Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions.
SIFMA Appoints Joseph L. Seidel COO

Date 27/09/2018

SIFMA today announced it has appointed Joseph L. Seidel as chief operating officer. Mr. Seidel joins SIFMA from Credit Suisse where he served as managing director and senior counsel, head of U.S. Public Policy. Mr. Seidel will report to SIFMA president and CEO Kenneth E. Bentsen, Jr. and will manage day to day operations of the Association, including core legal, regulatory, business practices, public policy and communications activities. Mr. Seidel will start at SIFMA on November 19th.