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SEC Requests Information And Comment On Advisers Act Regulatory Status Of Index Providers, Model Portfolio Providers, And Pricing Services - Commission Seeking Public Comments Regarding “Information Providers” Acting As “Investment Advisers”

Date 15/06/2022

The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information providers are acting as “investment advisers” under the Investment Advisers Act of 1940 (“Advisers Act”). The Request specifically focuses on index providers, model portfolio providers, and pricing services.
Statement On Request For Comment On Certain Information Providers, SEC Chair Gary Gensler, June 15, 2022

Date 15/06/2022

Today, the Commission voted to issue a request for comment to help determine which “information providers,” such as index providers, model portfolio providers, and pricing services, might come under the Commission’s definition of an investment adviser. The role of these information providers in today's markets raises important questions under the securities laws as to if they are providing investment advice rather than merely information. I am pleased to support this request because it will help inform our consideration of when—and under what facts and circumstances—these providers are giving “investment advice.”
On The Spot: Remarks At “Regulatory Transparency Project Conference On Regulating The New Crypto Ecosystem: Necessary Regulation Or Crippling Future Innovation?” - SEC Commissioner Hester M. Peirce, June 14, 2022

Date 15/06/2022

The topic of today’s event is “regulating the new crypto ecosystem.” It is a hot topic of conversation in Washington, DC. The conversation reminds me of a book for toddlers, Are You My Mother? In that book, a newly hatched bird searches for his mother. He asks a cat, dog, hen, cow, and front-end loader, each of which disappoints the baby bird with the news that it is not the baby bird’s Mom. Rest assured, baby bird and his actual mother are finally reunited. The crypto industry seems to be on a similar journey; only it is not looking for a mother, but is out looking for its regulator. In a bureaucratic twist on the story in the children’s book, in our story, every agency claims to be the regulator. So crypto is looking to Congress to decide who ought to regulate it. A bipartisan bill announced last week attempts to answer that question.[2] Some people in the crypto industry are celebrating the allocation of certain authorities to the Commodity Futures Trading Commission (“CFTC”) instead of the Securities and Exchange Commission (“SEC”). This view is likely rooted in a disappointment that the SEC has not used more proactively the authorities it already has to sensibly regulate crypto. I understand and share that disappointment, but I am hopeful that we can change course and use our existing and any prospective authorities wisely.
Keynote Address Of CFTC Commissioner Christy Goldsmith Romero At The Chicago Bar Association’s Futures & Derivatives Law Seminar, Chicago

Date 15/06/2022

Good afternoon. I want to thank the Chicago Bar Association for the warm welcome of me as a new CFTC Commissioner. I only wish I could join you in person. I started my law career in Chicago as a young associate at Jenner & Block with a view of the river from my office. I instantly fell in love with the city, including Gold Coast hot dogs, summer concerts at Ravinia, and baseball games. Although I won’t tell you which team because half of you will likely be upset.
Deutsche Börse: Unscheduled Component Changes In SDAX And TecDAX

Date 15/06/2022

Qontigo’s global index provider STOXX Ltd. has announced unscheduled component changes in the SDAX and TecDAX indices.

Treasury International Capital Data For April

Date 15/06/2022

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for April 2022. The next release, which will report on data for May, is scheduled for July 18, 2022.
ISDA And AFME Respond To EC’s ESG Consultation

Date 15/06/2022

On June 8, 2022, ISDA and the Association for Financial Markets in Europe submitted a joint response to the European Commission’s consultation on the functioning of environmental, social, and governance (ESG) ratings in the European Union (EU) and ESG factors in credit ratings. In the response, the associations highlight that regulatory intervention should focus on transparency of methodologies and conflict of interest policies, while ensuring requirements do not stifle innovation. The associations did not identify a need for further EU intervention on the incorporation of ESG factors in credit ratings.
Nadex Amends Listing Hours For The Week Of June 20, 2022 For The Juneteenth Holiday

Date 15/06/2022

Nadex will observe the following modified holiday schedule for the 2022 Juneteenth Holiday.
Federal Court Orders California Man To Pay Over $600,000 For Commodity Pool Fraud - Defendant Is An Associated Person Of A Commodity Pool Operator

Date 15/06/2022

The Commodity Futures Trading Commission today announced that the U.S. District Court for the Central District of California entered a consent order on June 7 for a permanent injunction, monetary sanctions, and equitable relief against Daniel Hewko of Fort Bragg, California.
Canadian Securities Administrators Encourages Older Canadians To Learn About And Watch For Signs Of Financial Abuse

Date 15/06/2022

As part of World Elder Abuse Awareness Day (WEAAD) on June 15, 2022, the Canadian Securities Administrators (CSA) is launching a public awareness campaign focused on helping older adults identify and protect themselves against financial abuse and scams.