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Video instructions and help with filling out and completing disciplinary proceedings under circular 230

Instructions and Help about disciplinary proceedings under circular 230

Hi Gary wall here and this is bridging the week for April twenty-eighth tube a second and today is May 5th 2021 good morning today maybe cinco de mayo and a course for festive party however last week the new york stock exchange and to affiliates we're not celebrating at all when they were charged and agreed to be fined by the Securities and Exchange Commission for acting contrary to certain exchanges own rules over not having certain rules at all also not celebrating were respondents who were charged with violating speculative position limits as well as exchange of futures related position and plot trade requirements and were fined by the Chicago Mercantile Exchange and in one case the Commodity Futures Trading Commission too we would like to cover this week in just a few minutes so let's get started in a sweeping criticism of the New York Stock Exchange's and to affiliates of course of conduct from 2008-2021 the Securities and Exchange Commission brought an administrative proceeding against the exchange and its affiliates but fairly to comply with their own rules or for not having certain required rules in the first place on numerous occasions this resulted in the organization's failure to comply with their obligations of self-regulatory organizations on the law says the commission also sued was that nicey exchanges affiliated broker-dealer archipelago securities archipelago was charged with failing to meet SEC regulatory capital requirements on two days in 2021 and for not having required policy and procedures regarding the handling of non-public information the two noisy affiliate exchanges involved this matter are nicey ARCA and nicey market formerly nicey amex to settle this matter nicey its affiliate exchanges and archipelago agreed to pay a fine of 4.5 million u.s. dollars and to retain an independent consultant to review their rule compliance programs you know maintaining strong internal controls are important for all registrant's when the brokers traders fund managers or even exchanges and clearing houses under current rules the Commodity Futures Trading Commission certain registrant's are now fully required on at least an annual basis to itemize all relevant regulatory requirements and to assess how they meet such requirements through adequate policy and procedures in fact this exercise is a valuable jewel for all registrants whether required or not certainly when a regulator points out a potential deficiency in following a requirement a register on should timely assess whether the regulator's assessment is correct and a BS address that deficiency promptly common sense speaking of the CFD City the CFTC the Chicago Mercantile Exchange brought and settled enforcement proceedings last week related to quite a few respondents failure to comply with speckled to position limits in most instances including the CFTC matter the offense evolved a violation of speculative limits at the end of a day however in 1 see any matter the offense involved a violation of a speculative position limit enter them with the impending reissue of CFTC position limit rules these cases are.