News Centre

SEC Charges S&P Global Ratings With Conflict Of Interest Violations

Date 14/11/2022

The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing considerations from influencing credit ratings.

CFTC Swaps Report Update

Date 14/11/2022

CFTC's Weekly Swaps Report has been updated, and is now available.

ISDA: Regulatory Framework For Sustainability-Linked Derivatives: Japan Analysis

Date 14/11/2022

Interest in environmental, social and governance (ESG) issues has grown globally, as countries, companies and investors have focused more on this area. The same trend has occurred in Japan.

CFTC Commitments Of Traders Reports Update

Date 14/11/2022

The current reports for the week of November 08, 2022 are now available. Report data is also available in the CFTC Public Reporting Environment (PRE), which allows users to search, filter, customize and download report data.

Remarks By CFTC Commissioner Caroline D. Pham At The NYU Law Program On Corporate Compliance And Enforcement Fall Conference - "If You See Something, Say Something"

Date 14/11/2022

“If you see something, say something.” These words were a maxim during the nearly seven-and-a-half years that I worked at a bank. It was something that was drilled into the sales and trading teams on the trading floors and in other lines of business, and it was something that Compliance officers repeated in so many trainings and so many refreshers. When in doubt, if you see something, say something. Escalate to your supervisor, your Compliance officer, your Legal coverage, HR, Ethics Office, the anonymous hotline, or other channels—there was no excuse to not escalate.

CFTC Commissioner Goldsmith Romero To Participate In A Virtual Fireside Chat At MoffettNathanson’s 4th Annual Cryptocurrency & Blockchain Immersion

Date 14/11/2022

SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For Thanksgiving Day

Date 14/11/2022

SIFMA confirmed its previous recommendations for the U.S., the U.K., and Japan in observance of the U.S. Thanksgiving Day holiday.

BOX To List SPY, QQQ Tuesday And Thursday Expiring Weekly Options

Date 14/11/2022

BOX Options Market LLC (“BOX”) plans to file to trade Tuesday and Thursday Weekly Options in SPY and QQQ. BOX will list SPY and QQQ Tuesday-Expiring Weeklys beginning November 14, 2022, and SPY and QQQ Thursday-Expiring Weeklys beginning November 16, 2022, subject to regulatory review.

Nodal Exchange To Launch The First-Ever Washington Carbon Allowance And National Wind Renewable Energy Certificate Futures Contracts In Collaboration With IncubEx

Date 14/11/2022

Nodal Exchange and IncubEx announced today the planned launch date of December 5th, 2022 for the Washington Carbon Allowance (WCA) futures contract and the National CRS Listed Wind Renewable Energy Certificate (REC) futures contracts, pending regulatory review.

MIAX Exchange Group - Options Markets - Listing Of Tuesday And Thursday Weekly Expirations For QQQ And SPY

Date 14/11/2022

Subject to regulatory approval, MIAX Options Exchange, MIAX Pearl Options Exchange and MIAX Emerald Options Exchange will modify the Short Term Option Series Program ("STOS") and will introduce Short Term Option Daily Expirations. Under the new Short Term Option Daily Expirations program the number of Short Term Option Expiration Dates will go from five to two for SPY, QQQ, and IWM Monday and Wednesday Expirations as well as the new SPY and QQQ Tuesday and Thursday Expirations.