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CFTC Revokes Eurex Zurich AG FBOT Registration After Voluntary Closure

Date 20/08/2018

The Commodity Futures Trading Commission (CFTC) announced today that it issued an order revoking the foreign board of trade (FBOT) registration of Eurex Zurich AG (EZAG).
SEC Charges Technology Fund Adviser, Founder In Fraudulent Scheme

Date 20/08/2018

The Securities and Exchange Commission today charged the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to fund personal projects, including sending millions of dollars to his own virtual reality production company.
FINRA Fines Interactive Brokers $5.5 Million For Regulation SHO Violations And Supervisory Failures

Date 20/08/2018

FINRA announced today that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years.
Merrill Lynch Settles SEC Charges Of Undisclosed Conflict In Advisory Decision

Date 20/08/2018

The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million to settle charges that it failed to disclose a conflict of interest arising out of its own business interests in deciding whether to continue to offer clients products managed by an outside third-party advisory firm.
SIFMA Fixed-Income Market Close Recommendation In The U.S., The U.K. And Japan For U.S. Labor Day Holiday

Date 20/08/2018

SIFMA has confirmed its previous holiday recommendation for a full market close on Monday, September 3 for the trading of U.S. dollar-denominated fixed-income securities in the U.S., the U.K., and Japan in observance of the U.S. Labor Day holiday.

SEC Adopts Rule Amendments To Improve Municipal Securities Disclosure

Date 20/08/2018

The Securities and Exchange Commission adopted amendments to enhance transparency in the municipal securities market. The adopted amendments to Rule 15c2-12 of the Securities Exchange Act will focus on material financial obligations that could impact an issuer’s liquidity, overall creditworthiness, or an existing security holder’s rights.
Statement Of CFTC Commissioner Brian Quintenz Regarding The Virtual Commodity Association

Date 20/08/2018

Given the absence of federal oversight jurisdiction in the crypto market, in February and again in March of this year I called on the crypto platform community to come together and develop a self-regulatory organization-like entity that could develop and enforce rules. I am pleased that progress has been made on such a concept. Ultimately, an independent and empowered SRO-like entity could have a meaningful impact on the integrity and credibility of this young marketplace. Today’s announcement is a positive step towards that realization.
ETFGI Reports Assets Invested In ETFs And ETPs Listed In The Canada Reached A New High Of US$123 Billion At The End Of July 2018

Date 20/08/2018

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in Canada reached a new high of US$123 billion in assets, following net inflows and market moves of US$987 million during July, according to ETFGI’s July 2018 Canada ETF and ETP industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
Federal Reserve: David W. Wilcox, Director Of The Division Of Research And Statistics, To Retire At Year End

Date 20/08/2018

David W. Wilcox, director of the Division of Research and Statistics, will retire at the end of this year after 30 years of service with the Federal Reserve Board, including seven years as the director of the division.
SEC Charges Unregistered Brokers Who Sold Woodbridge Securities To Main Street Investors

Date 20/08/2018

The Securities and Exchange Commission today charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of Companies LLC to retail investors. Woodbridge collapsed into bankruptcy in December 2017 and the SEC previously charged the company, its owner, and others with operating a massive $1.2 billion Ponzi scheme.