SEC-PR-2412-203 (Dec. 17, 2024) (SEC-PR-2412) SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO – Commission declines to impose a penalty based on company’s self-report, cooperation, and remediation Excerpt: Washington D.C., Dec. 17, 2024 — The Securities and Exchange Commission today announced settled charges against Ohio-based Express, […]
Day: December 17, 2024
CFTC-PR-9024-24 (12-17-24) (CFTC-PR-2412) CFTC Approves Final Rule Regarding Safeguarding and Investment of Customer Funds Excerpt: December 17, 2024 – WASHINGTON, D.C. — The Commodity Futures Trading Commission today announced it approved a final rule amending the CFTC’s regulations that govern how futures commission merchants and derivatives clearing organizations safeguard and invest customer funds held for the benefit […]
CFTC-PR-9023-24 (12-17-24) (CFTC-PR-2412) CFTC Grants QC Clearing LLC DCO Registration Excerpt: December 17, 2024 – WASHINGTON, D.C. — The Commodity Futures Trading Commission today announced it has issued QC Clearing LLC an Order of Registration as a derivatives clearing organization under the Commodity Exchange Act. QC Clearing is a limited liability company registered in Delaware […]