News Centre

SEC Charges Giga Entertainment Media, Former Officers And Directors With Fraud In Pay-For-Download Campaign

Date 15/11/2018

The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret Streiner, Lawrence Silver, Alfred Colucci, and Charles Noska—with fraud in connection with a scheme to mislead investors. 

FINRA Foundation Names 2018 Recipients Of First Annual Military Spouse Fellowship Program Awards - Military Spouse Fellows Support The Military Community As Accredited Financial Counselors® To Help Increase The Financial Capability Of Military Families

Date 15/11/2018

The FINRA Investor Education Foundation (FINRA Foundation) has announced the recipients of the first annual awards to FINRA Foundation Military Spouse Fellows for outstanding service and dedication to military service members and their families.

Speech Of Enforcement Director James M. Mcdonald Regarding Enforcement Trends At The CFTC, NYU School Of Law: Program On Corporate Compliance & Enforcement

Date 15/11/2018

Introduction

Thank you for that introduction.  I’m happy to be back here at NYU as part of the Program on Corporate Compliance & Enforcement (PCCE).  Over the years, the PCCE has brought together some of the best thinking in the enforcement, business, and academic community to develop a richer and deeper understanding of the causes of corporate misconduct, and how enforcement and compliance programs can most effectively deter it.  The result is that the work here at the PCCE has been a driver of some of the most significant developments in Enforcement and Compliance.

SEC Brings Additional Charges In New York Boiler Room Scheme Targeting Seniors

Date 15/11/2018

The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for defrauding elderly and unsophisticated investors. The latest charges allege that First Choice Healthcare Solutions Inc. CEO Christian Romandetti, the boiler room, and four others, manipulated the company’s shares generating more than $3.3 million of illegal profits and more than $560,000 in kickbacks for Romandetti.

AMF Technological Innovation Advisory Committee Welcomes Eight New Members

Date 15/11/2018

The Autorité des marchés financiers (“AMF”) is pleased to announce the following appointments to its Technological Innovation Advisory Committee (“TIAC”).

Federal Reserve To Review Strategies, Tools, And Communication Practices It Uses To Pursue Its Mandate Of Maximum Employment And Price Stability

Date 15/11/2018

The Federal Reserve next year will review the strategies, tools, and communication practices it uses to pursue its congressionally-assigned mandate of maximum employment and price stability. The review will include outreach to a broad range of interested stakeholders.

Dubai Financial Services Authority: Public Holiday Notification

Date 15/11/2018

To mark the occasion of the Prophet’s Birthday (Peace Be Upon Him), the DFSA offices will be closed on Sunday, 18 November 2018. Work will resume on Monday, 19 November 2018.

Opening Remarks At The 2018 SEC Staff Roundtable On The Proxy Process, SEC Commissioner Kara M. Stein, Nov. 15, 2018

Date 15/11/2018

Good morning. Welcome to the SEC staff’s roundtable on proxy process. I would like to start by thanking Chairman Clayton for asking the staff to host a roundtable on this very important topic. I would also like to thank Michele Anderson, Julie Davis, and the entire SEC team who worked so hard to bring this roundtable to fruition. Indeed, it has been eight years since the Commission sought comment on the proxy system.

Amman Stock Exchange: Public Holiday (Prophet Mohammed’s Birth)

Date 15/11/2018

According to the announcement issued by Prime Minister on the occasion of Prophet Mohammed's Birth, the Amman Stock Exchange (ASE) will be off on Tuesday the 20^th of November, 2018. The ASE will resume its work on Wednesday the 21^st of November, 2018.

Statement At The SEC Staff Roundtable On The Proxy Process, SEC Chairman Jay Clayton, Nov. 15, 2018

Date 15/11/2018

Thank you Bill [Hinman], and good morning everyone.

My fellow Commissioners and I have agreed to keep our remarks brief so we can move forward promptly with this important program. I am going to highlight four items.