FTSE Mondo Visione Exchanges Index:
News Centre
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Twelve Firms To Pay More Than $63 Million Combined To Settle SEC’s Charges For Recordkeeping Failures - One Firm Received Credit For Self-Reporting And Will Pay A Reduced Civil Penalty
Date 13/01/2025
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping provisions of the federal securities laws.
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SEC: Two Robinhood Broker-Dealers To Pay $45 Million In Combined Penalties For Violating More Than 10 Separate Securities Law Provisions
Date 13/01/2025
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations.
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Theresa Taylor And David Miller Re-Elected As CalPERS Board President, Vice President
Date 13/01/2025
The CalPERS Board of Administration has re-elected Theresa Taylor as board president and David Miller as vice president.
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MIAX Exchange Group - Options And Equities Markets Member Firm Portal Maintenance Scheduled For January 16, 2025
Date 13/01/2025
The MIAX Options, MIAX Pearl Options, MIAX Emerald Options, MIAX Sapphire Options and MIAX Pearl Equities Exchanges will perform maintenance on the Member Firm Portal User Interface beginning at 4:15 p.m. on Thursday, January 16, 2025. All post-trade adjustments that do not affect the contractual terms of a trade must be submitted to TradingOperations@miaxglobal.com between 4:15 p.m. and 5:10 p.m. on January 16, 2025.
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CFTC: Mosaic Exchange Ltd. And CEO Ordered To Pay Over $1.1 Million For Fraudulent Digital Asset Commodity Scheme
Date 13/01/2025
The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of Florida entered orders of final default judgment on Dec. 23 and 30, 2024, against Mosaic Exchange Ltd., a Pennsylvania limited liability company, and its owner and Chief Executive Officer Sean Michael, of Miami, Florida, for running a fraudulent digital asset commodity scheme.
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CFTC Swaps Report Update
Date 13/01/2025
CFTC's Weekly Swaps Report has been updated, and is now available: http://www.cftc.gov/MarketReports/SwapsReports/index.htm.
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CFTC Commitments Of Traders Reports Update
Date 13/01/2025
The current reports for the week of January 07, 2025 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.
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Gemini Trust Ordered To Pay $5 Million For Making False Or Misleading Statements, Omissions To The CFTC
Date 13/01/2025
The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of New York entered a consent order against Gemini Trust Company LLC, a New York trust company. The order includes a permanent injunction, and finds Gemini violated the CEA and made materially false or misleading statements or omissions to the Commission. The order requires Gemini Trust to pay a $5 million civil monetary penalty.
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SEC Charges Former Public Company Officer And His Sister-In-Law With Insider Trading
Date 13/01/2025
The Securities and Exchange Commission today charged Alfred V. Tobia, Jr., the former president and chief investment officer (CIO) of one public company and a member of the board of another, and his sister-in-law, Elizabeth Lee, with insider trading that resulted in more than $428,000 in illegal profits. The defendants have agreed to pay more than $1.36 million to settle the charges.
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New York Department Of Financial Services Superintendent Adrienne A. Harris Launches Inaugural Transatlantic Regulatory Exchange With Bank Of England - New York And British Regulators To Exchange Senior Experts In Emerging Payments And Digital Assets
Date 13/01/2025
Today, the New York Department of Financial Services (“DFS”) Superintendent Adrienne A. Harris launched the Transatlantic Regulatory Exchange (“TRE”), an international secondment program which allows DFS and other regulators to exchange staff, enabling greater sharing of resources, knowledge, and regulatory approaches. The first TRE secondment will commence in February with DFS and the Bank of England (“BOE”) exchanging senior staff with expertise in emerging payments and digital assets.
