A major food and beverage manufacturing company, its former chief operating officer and its former chief procurement officer settled SEC charges for an alleged expense management scheme. The scheme involved premature and improper recognition of cost savings in financial statements resulting from misleading supplier contracts generated by procurement employees.
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The MSRB filed for immediate effectiveness a proposal that would extend the deadline for a municipal advisor principal to become qualified with the Series 54 examination from November 12 to November 30, 2021.
NFA proposed amendments clarifying that member swap dealers who violate the trade execution compliance schedule or clearing requirements of the CFTC's rules also will have violated an NFA requirement.
NFA proposed amendments to certain filing requirements relating to filings to be made by swap dealers using models to compute net capital.
Cboe Europe B.V. notified the SEC Division of Trading and Markets that it intends to rely on the class no-action relief issued in July 2013 to engage in familiarization activities as to "Eligible Options" traded on its exchange with "Eligible Broker-Dealers / Eligible Institutions" in the United States.