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Concurring Statement Of CFTC Commissioner Caroline D. Pham On Novel U.S. Location Test And FCM Registration
Date 14/05/2024
I respectfully concur on In re Falcon Labs Ltd. because the cross-border issues raised in this matter re-open decades of settled Congressional intent and well-established Commission interpretation of the Commodity Exchange Act’s (CEA) extraterritoriality and cross-border application to foreign futures and options transactions and the futures commission merchant (FCM) registration requirement, as well as to swaps activity outside the United States. These are cross-border issues that have vast implications for the over $700 trillion notional global derivatives market and the potential to disrupt legitimate activity of multinational trading firms and the end-users that depend on derivatives markets for hedging and risk management. I believe the Commission’s unprecedented interpretation today in an administrative order constitutes a legislative rule that requires notice-and-comment rulemaking pursuant to the Administrative Procedure Act (APA) because it may impose new CFTC registration and trading requirements on scores of non-U.S. legal entities.
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Nasdaq Announces 2024 Annual Meeting Of Shareholders
Date 14/05/2024
Nasdaq, Inc. (Nasdaq: NDAQ) has scheduled its 2024 Annual Meeting of Shareholders forJune 11, 2024 , at8:00 AM ET . The virtual meeting website can be accessed 15 minutes prior to the meeting start by visiting: www.virtualshareholdermeeting.com/NDAQ2024. -
Supervision And Regulation, Federal Reserve Vice Chair For Supervision Michael S. Barr, Before The Committee On Financial Services, U.S. House Of Representatives, Washington, D.C.
Date 14/05/2024
Chairman McHenry, Ranking Member Waters, and other members of the Committee, thank you for the opportunity to testify on the Federal Reserve's supervisory and regulatory activities. Accompanying my testimony is the Federal Reserve's semiannual Supervision and Regulation Report. Today, I will discuss current conditions in the banking sector, supervisory activities, and some of our recent regulatory proposals.
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Robinhood Markets, Inc. To Present At The J.P. Morgan Global Technology, Media And Communications Conference On May 21, 2024
Date 14/05/2024
Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today announced that it will be participating in the upcoming J.P. Morgan Global Technology, Media and Communications Conference on Tuesday, May 21, 2024.
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SEC Seeks Candidates For Small Business Capital Formation Advisory Committee
Date 14/05/2024
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and policy matters relating to small businesses.
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SEC Charges Hudson Valley Wealth Management Advisory Firm And Founder For Failing To Disclose Conflicts Of Interest - Firm Owner Received Undisclosed Fee For Investing Clients’ Money In Films
Date 14/05/2024
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients. To settle the charges, Hudson Valley agreed to pay a civil penalty of $200,000, and Conover agreed to pay more than $600,000 in disgorgement and prejudgment interest and a $150,000 civil penalty.
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CFTC Charges Agridime and Its Co-Founders with a Fraudulent Cattle Scheme
Date 14/05/2024
The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Agridime LLC, a Texas corporation, and its co-founders, Joshua Link of Gilbert, Arizona and Jed Wood of Ft. Worth, Texas.
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London Stock Exchange Group plc: Variation Of lock-Up Arrangements
Date 14/05/2024
London Stock Exchange Group plc ("LSEG" or the "Company") notes the announcement by York Holdings II Limited ("York Holdings II") and York Holdings III Limited ("York Holdings III" and together with York Holdings II, the "York Entities") (entities owned by BCP York Holdings (Delaware) L.P. (an entity owned by a consortium of certain investment funds affiliated with Blackstone Inc. and including an affiliate of Canada Pension Plan Investment Board, an affiliate of GIC Special Investments Pte. Ltd. and certain other co-investors) ("BCP York"), Thomson Reuters and certain other minority holders) (BCP York and the York Entities together, the "Consortium") in relation to a proposed placing of LSEG shares to institutional investors (the "Placing").
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Miami Federal Court Orders Multiple Individuals And Entities To Pay Over $225 Million For Foreign Currency Fraud And Misappropriation Scheme - Federal Court Also Orders Georgia-Based Certified Public Accountant To Pay $467,000 In Monetary Sanctions To Settle Charges For His Involvement In The Fraud
Date 14/05/2024
The Commodity Futures Trading Commission today announced the Honorable Darrin P. Gayles of the U.S. District Court for the Southern District of Florida issued an order of default judgment against four individuals and five companies (nine defendants): Jase Davis of Brandon, Mississippi; Borys Konovalenko of Ukraine; Anna Shymko of Duluth, Georgia; Alla Skala of Grand Island, New York and/or Fort Erie, Canada; Easy Com LLC d/b/a ROFX, a New Hampshire LLC; Global E-Advantages LLC a/k/a Kickmagic LLC d/b/a ROFX, a Delaware LLC and New York foreign LLC; Grovee LLC d/b/a ROFX, a Delaware LLC; Notus LLC d/b/a ROFX, a dissolved Colorado LLC; and Shopostar LLC d/b/a ROFX, a Colorado LLC.
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Euronext Publishes Q1 2024 Results - Strong Start Of The Year With Record Topline Driven By Strong Organic Growth Of Euronext’s Diversified Business Model
Date 14/05/2024
Euronext, the leading pan-European market infrastructure, today publishes its results for the first quarter 2024.
