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SEC To Host Webinar For Large Firms On Regulation S-P
Date 16/09/2025
The Securities and Exchange Commission today announced it will hold a series of three compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The first event, for large firms, is a webinar scheduled for Sept. 25 from 1 p.m. to 2 p.m. ET. The other two events, for transfer agents and small firms, will be announced at a later date.
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CFTC Obtains $6.9M Restitution Order Against Three Individuals, Three Florida Firms In Metals Fraud Case - Court Also Orders Four Defendants To Pay $11.5M Civil Monetary Penalty
Date 16/09/2025
The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of New York entered a consent order imposing a permanent injunction and equitable remedies against Ross Baldwin and his inactive Florida firm National Coin Broker, Inc. The court previously entered a default judgment order against Robert Jeffrey Johnson, Kathleen Hook, Precious Commodities Inc., and NCB Wholesale Co.
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CME Group Adjusted Interest Rate Total Return Futures Reach Record Open Interest Of 1 Million Contracts
Date 16/09/2025
CME Group, the world's leading derivatives marketplace, today announced that its suite of Adjusted Interest Rate (AIR) Total Return futures reached an open interest (OI) record of more than 1 million contracts (equivalent to $365 billion notional) as well as a single-day volume record of 109,000 contracts (equivalent to $40 billion notional) on September 11.
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FINRA Announces Launch Of Crypto And Blockchain Education Program - New Educational Initiative Provides Member Firms With Essential Knowledge On Crypto Assets And Blockchain Technology
Date 16/09/2025
FINRA announced today the launch of its new Crypto and Blockchain Education Program, which is designed to provide FINRA member firms and their employees with educational resources focused on crypto assets and blockchain technology.
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ISDA Derivatives Trading And Treasury Forum, London, September 16, 2025, Opening Remarks, Scott O’Malia, ISDA Chief Executive Officer
Date 16/09/2025
Good morning, and welcome to the ISDA Derivatives Trading and Treasury Forum. Thank you to CME Group for partnering with us again on this event, and thanks to our other sponsors.
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Stephen I. Miran Sworn In As A Member Of The Board Of Governors Of The Federal Reserve System
Date 16/09/2025
Dr. Stephen I. Miran took the oath of office as a member of the Board of Governors of the Federal Reserve System on Tuesday. The oath was administered by Judge Elizabeth L. Branch of the United States Court of Appeals for the Eleventh Circuit.
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Novo Banco Chooses Euroclear FundsPlace
Date 16/09/2025
Novo Banco, Portugal’s fourth-largest bank, has selected Euroclear FundsPlace® as its exclusive provider for fund distribution services – marking a major step forward in simplifying and scaling its fund operations.
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Velora Launches $VLR To Simplify Crosschain Trading In DeFi - The Token Launch Accelerates Velora’s (formerly ParaSwap) Mission To Advance Intent-Based Architecture And Redefine DeFi User Experience
Date 16/09/2025
Velora, the most advanced intent-based, cross-chain trading protocol in Decentralized Finance (DeFi), today announced the launch of its new $VLR token. The protocol has processed over $125 billion in cumulative trading volume and is integrated by leading DeFi platforms, such as Aave, Morpho, and Pendle.
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CLS Welcomes U.S. Bank To CLSSettlement
Date 16/09/2025
CLS, a financial market infrastructure group delivering settlement, processing and data solutions, today announces that U.S. Bank National Association (U.S. Bank) has joined CLSSettlement as a settlement member and become the third settlement member to join this year, bringing the total number of settlement members to 76. U.S. Bank is the fifth largest bank in the US and is headquartered in Minneapolis.
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SEC Announces Four New Members Of Investor Advisory Committee
Date 16/09/2025
The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 16 current committee members. The committee, established pursuant to Section 39 of the Securities Exchange Act of 1934, advises the Commission on regulatory priorities and initiatives to protect investors and promote the integrity of the U.S. securities markets.