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  • FINRA Announces Three New Governors On Its Board

    Date 16/02/2024

    FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat. Together, these individuals bring extensive audit, risk management, regulatory policy and investing experience to the Board.

  • TMX Group Closes C$1.1 Billion Private Placement Debenture Offering

    Date 16/02/2024

    TMX Group Limited ("TMX Group") today announced that it has closed a Canadian private placement offering (the "Offering") of C$1.1 billion aggregate principal amount of senior unsecured debentures (collectively, the "Debentures") to accredited investors in Canada comprising: (i) C$350 million aggregate principal amount of 4.678% Series G Senior Unsecured Debentures due August 16, 2029, approximately 4.9 times oversubscribed; (ii) C$300 million aggregate principal amount of 4.836% Series H Senior Unsecured Debentures due February 18, 2032, approximately 4.3 times oversubscribed; and (iii) C$450 million aggregate principal amount of 4.970% Series I Senior Unsecured Debentures due February 16, 2034, approximately 5.8 times oversubscribed. The Debentures are direct senior unsecured and unsubordinated obligations of TMX Group and rank pari passu with all other senior unsecured and unsubordinated indebtedness of TMX Group.

  • SEC Charges TIAA Subsidiary For Failing To Act In The Best Interest Of Retail Customers - Broker-Dealer To Pay More Than $2.2 Million For Violating Reg BI

    Date 16/02/2024

    The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2.2 million to settle charges that it failed to comply with Regulation Best Interest (Reg BI) in connection with recommendations to retail customers to open a TIAA Individual Retirement Account (TIAA IRA).

  • MIAX Exchange Group - Amendment To Rule 1308, Supervision Of Accounts, To Extend The Temporary Remote Inspection Relief Through June 30, 2024, For Members To Complete Their Branch Office Inspections

    Date 16/02/2024

    The MIAX Exchange Group has amended all MIAX Exchanges’ Rule 1308, Supervision of Accounts, to provide Members the option to conduct remotely those inspections described in Rule 1308(d) through June 30, 2024.

  • ETFGI Reports At The End Of January The Assets Invested In The ETFs Industry In Europe Reached A New Record Of US$1.83 Trillion

    Date 16/02/2024

    ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs ecosystem, reported today that at the end of January the assets invested in the ETFs industry in Europe reached a new record of US$1.83 trillion. During January the ETFs industry in Europe gathered US$21.68 billion in net inflows. In the first month of 2024, assets invested in the ETFs industry in Europe increased by 0.5% going from US$1.82 trillion at the end of 2023 to US$1.83 trillion, according to ETFGI's January 2024 European ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)