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MIAX Exchange Group - Options And Equities Markets - FINRA Proposal To Amend The Codes Of Arbitration Procedure And Code Of Mediation Procedure To Revise And Restate The Qualifications For Representatives In Arbitrations And Mediations

Date 31/10/2023

FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes, the Code of Arbitration Procedure for Industry Disputes, and the Code of Mediation Procedure to revise and restate the qualifications for representatives in arbitrations and mediations in the forum administered by FINRA Dispute Resolution Services (‘‘DRS’’). The proposed amendments would disallow compensated non-attorney representatives from representing parties in the DRS forum and clarify the circumstances in which any person would be prohibited from representing a party in the DRS forum. In addition, the proposed amendments would codify that a student enrolled in a law school participating in a law school clinical program or its equivalent and practicing under the supervision of an attorney may represent investors in the DRS forum.
ISDA Future Cessation Guidance – 2021 ISDA Interest Rate Derivatives Definitions And 2006 ISDA Definitions – ICAPZAR

Date 31/10/2023

ISDA has published the attached guidance for parties to over-the-counter derivative transactions that are affected by the announcement made on September 14, 2023 by TP ICAP that the ICAPZAR rate will cease publication from December 31, 2023.
Public Investors Advocate Bar Association Applauds New DOL Rule That Would Protect Investors From Financial Advisor Abuse - Great News For Main Street Investors And Retirement Savers; Department Of Labor Issues “Conflict Of Interest” Rule Proposal For Public Comment.

Date 31/10/2023

Following the public release of the Department of Labor’s (DOL) newly proposed rule to protect American investors from conflicts of interest when financial professionals give retirement investment advice, the Public Investors Advocate Bar Association (PIABA) issued the following statement.
Nadex Self-Certifies SHIB Cryptocurrency Touch Bracket Contracts

Date 31/10/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new SHIB Cryptocurrency Touch Bracket Contracts. These contracts will be listed on or after trade date November 3, 2023.
Regnology Announces The Strategic Shift To 100% Hyperscale-Cloud Delivery Of Its Industry-Leading Banking Regulatory And Tax Reporting Solutions - Rcloud Platform Builds On A Carbon-Neutral Reporting Infrastructure To Deliver Superior Operational Efficiency And AI Innovation Capabilities.

Date 31/10/2023

Regnology, a software provider with a focus on regulatory reporting solutions, today announced its strategic decision to move to a 100% cloud delivery of its market-leading regulatory reporting solution suite in 2024, including Regnology Abacus for banking and transaction reporting, and Regnology Tax for client and regulatory tax reporting.

MNI Indicators: Chicago Business Barometer™ - October 2023 Chicago Report™ Steady At 44.0

Date 31/10/2023

MNI Indicators specializes in producing business and consumer surveys designed to present an advance picture of the economic landscape and highlight changing trends in business and consumer activity. MNI Indicators produces the renowned Chicago Business Barometer™, a key leading indicator of the US economy. MNI Indicators is part of Market News International, Inc., a leading provider of news and intelligence.
ESMA Publishes Data For Quarterly Bond Liquidity Assessment And The Systematic Internaliser Calculations

Date 31/10/2023

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published the new quarterly liquidity assessment of bonds, the data for the quarterly systematic internaliser calculations for equity, equity-like instruments, bonds and for other non-equity instruments under MiFID II and MiFIR.
Exegy Positioned To Accelerate Growth With New Chief Revenue Officer

Date 31/10/2023

Exegy, the global leader in intelligent market data, advanced trading, and execution systems, today announces the appointment of industry veteran Brian Pomraning as Chief Revenue Officer. The appointment underscores Exegy’s continued commitment to build an experienced leadership team, focused on delivering best-in-class trading technology to the global capital markets. With the successful integrations of Vela Trading and Enyx, coupled with continuous product innovations and client engagement, Exegy is uniquely positioned to provide cost-effective technologies in a market highly focused on speed and resiliency.
ISO 20022: Reaping The Benefits For The Payments Ecosystem − Remarks By Victoria Cleland, Bank Of England, Executive Director For Banking, Payments And Innovation: Given At The UK Finance Digital Innovation Summit

Date 31/10/2023

Victoria Cleland delivered a speech at the UK Finance Digital Innovation Summit on 31 October 2023. She spoke about the importance of ISO 20022 messaging and understanding its benefits. Victoria emphasised that harmonisation was the key to success, and that there would be benefits for everyone in the payments ecosystem.
UK Financial Conduct Authority Joins Forces With Global Regulators To Foster Digital Innovation With Project Guardian

Date 31/10/2023

The FCA is partnering with regulators across the world as part of the Monetary Authority of Singapore’s (MAS) Project Guardian, a collaborative initiative with the financial industry that explores fund and asset tokenisation use cases, and decentralised finance.