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NYSE Member Firms Report Second Quarter Results

Date 28/09/2020

New York Stock Exchange member firms that conduct business with the public reported a second-quarter 2020 after-tax profit of approximately $13.9 billion and revenues of approximately $57 billion, compared with approximately $5.3 billion after-tax profit on revenues of about $69 billion in the second-quarter of 2019.
SEC: Fiat Chrysler Agrees To Pay $9.5 Million Penalty For Disclosure Violations

Date 28/09/2020

The Securities and Exchange Commission today announced that Fiat Chrysler Automobiles N.V., a London-based public company that sells vehicles through its Michigan-based subsidiary, agreed to settle charges that it made misleading disclosures about an internal audit of its emissions control systems.
BOX Business Continuity Planning – Trading Floor Closure

Date 28/09/2020

On Monday, September 28, 2020, BOX Exchange LLC (“BOX”) will initiate its business continuity plan and move, on a temporary basis, to fully electronic trading.
SEC Staff To Host October 26 Roundtable On Regulation Best Interest And Form CRS

Date 28/09/2020

The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and Form CRS implementation.
CFTC Orders New York Firm And Its Trader To Pay $585,000 For Spoofing

Date 28/09/2020

The Commodity Futures Trading Commission today issued two orders filing and settling charges against Thomas Donino and his employer, FNY Partners Fund LP, for spoofing—bidding or offering with the intent to cancel the bid or offer before execution. This case was brought in connection with the Division of Enforcement’s Spoofing Task Force.

SEC Charges Amazon Finance Manager And Family With Insider Trading

Date 28/09/2020

The Securities and Exchange Commission today charged a former finance manager at Amazon.com Inc. and two family members with insider trading in advance of Amazon earnings announcements between January 2016 and July 2018.
CFTC Charges Georgia Man With Fraudulent Scheme To Profit From COVID-19 - Second CFTC Enforcement Action Targeting Misconduct Directly Tied To COVID-19

Date 28/09/2020

The Commodity Futures Trading Commission today announced that it has filed a complaint in the U.S. District Court for the Northern District of Texas against Kenzley Ramos, a Georgia resident, charging him with fraudulent solicitation, misappropriation, operation of an unlawful commodity pool, and failure to register with the CFTC.
Statement On Measures To Enhance The Fixed Income Markets, SEC Commissioner Elad L. Roisman, Sept. 28, 2020

Date 28/09/2020

Today, the Commission took steps toward optimizing the oversight of our fixed income markets by proposing to broaden the application of Regulation ATS and Regulation SCI to alternative trading systems that trade U.S. government securities (“Government Securities ATSs”). In addition, the Commission issued an important concept release seeking feedback on the regulatory approach to electronic trading platforms for corporate bonds and municipal securities.
UK Financial Conduct Authority: Konstantin Vishnyak Found Not Guilty For Destroying Documents

Date 28/09/2020

In a case brought by the Financial Conduct Authority (FCA), Konstantin Vishnyak has been found not guilty at Southwark Crown Court of one count of destroying documents in September 2018.
CFTC Orders Three Citibank Affiliates To Pay $4.5 Million For Supervision Failures That Led To Deletion Of Subpoenaed Audio Recordings

Date 28/09/2020

The Commodity Futures Trading Commission today announced it has issued an order filing and simultaneously settling charges against Citibank N.A. and Citigroup Energy Inc., both provisionally registered swap dealers, and Citigroup Global Markets, Inc., a provisionally registered swap dealer and a registered futures commission merchant (collectively, Citi entities), for failing to diligently supervise their audio preservation system.