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Nadex Self-Certifies XRP Cryptocurrency Touch Bracket Contracts

Date 29/09/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new XRP Cryptocurrency Touch Bracket Variable Payout Contracts. These contracts will be listed on or after trade date October 3, 2023.
FINRA Notice Of Approval To Amend The Codes Of Arbitration Procedure Governing The Arbitrator List-Selection Process And Procedural Rules

Date 29/09/2023

FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to make changes relating to the arbitrator list selection process, in response to recommendations of independent counsel Lowenstein Sandler LLP. The approved rule change also makes clarifying and technical changes to Procedural Rules.
CFTC Charges Four Individuals And A Seychelles Company With Operating A Fraudulent Digital Assets Trading Scheme And Misappropriation

Date 29/09/2023

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the District of New Jersey charging fraud against Or Patreanu of Israel, Snir Hananya of Italy, Elijah Samson of Germany, Artem Prokopenko of Ukraine, and Expected Value Plus Ltd., a Seychelles company, all d/b/a Trade2Get, Coinbull, Cryptonxt, Tradenix, Cryptobravos, Nittrex, Pinance, and Wobit (collectively, Cryptobravos).
US Office Of The Comptroller Of The Currency Announces Executive Director For Office Of Minority And Women Inclusion

Date 29/09/2023

The Office of the Comptroller of the Currency (OCC) today announced Shinu Shilesh as the Executive Director for the agency’s Office of Minority and Women Inclusion.
CFTC Commitments Of Traders Reports Update

Date 29/09/2023

The current reports for the week of September 26, 2023 are now available. Report data is also available in the CFTC Public Reporting Environment (PRE), which allows users to search, filter, customize and download report data.

CFTC Vacates SEF Registration of SwapEx LLC

Date 29/09/2023

At the request of SwapEx LLC, the Commodity Futures Trading Commission today issued an order that vacates the registration of SwapEx as a swap execution facility (SEF) effective September 30.
SEC, MSRB, & FINRA To Hold Virtual Compliance Outreach Program

Date 29/09/2023

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
Superintendent Of New York Department Of Financial Services Adrienne A. Harris Announces $10 Million Settlement With Shinhan Bank America For Repeated Compliance Failures - Bank Continued To Conduct Business In An Unsafe And Unsound Manner Despite Prior Regulatory Actions

Date 29/09/2023

Superintendent of Financial Services Adrienne A. Harris announced today that Shinhan Bank America (the “Bank”), a subsidiary of Shinhan Bank Co., Ltd., has agreed to pay $10 million in penalties pursuant to a Consent Order entered into with the New York State Department of Financial Services (“DFS” or the “Department”). The Consent Order resolves the Department’s investigation into repeated violations of Bank Secrecy Act/Anti-Money Laundering (“BSA/AML”) requirements and New York law.
MIAX Exchange Group - Options Markets - Market For Underlying Security Used For Openings On MIAX Options, MIAX Pearl Options And MIAX Emerald Options For Newly Listed Symbols Effective Monday, October 2, 2023

Date 29/09/2023

Please refer to the Regulatory Circulars listed below for newly added symbols and the corresponding market for the underlying security used for openings on the MIAX Exchanges. The newly listed symbols will be available for trading beginning Monday, October 2, 2023.
Dissenting Statement Of CFTC Commissioner Caroline D. Pham Regarding The Filing Of Administrative Complaints For Enforcement Actions - “Shotgun Hearings And Quickie Defaults”

Date 29/09/2023

I respectfully dissent on the Commission’s use of administrative proceedings before a hearing officer in the absence of CFTC Administrative Law Judges (ALJs) and in lieu of filing in federal court without an appropriate regard for due process. This creative “shotgun” approach to administrative proceedings, first devised only a couple years ago, flies in the face of decades of Commission standard practice and rules, bypasses federal Article III courts, and is a misuse of the CFTC’s adjudication authority.