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  • Statement On The Further Definition Of A Dealer-Trader, SEC Chair Gary Gensler, March 28, 2022

    Date 28/03/2022

    Today, the Commission unanimously proposed two rules further defining a dealer to help identify principal trading firms (PTFs) and firms conducting similar activities that must register with the SEC. I was pleased to support this proposal because I believe it reflects Congress’s statutory intent that firms engaging in important liquidity-providing roles in the securities markets, including in the U.S. Treasury market, be registered with the Commission. Further, requiring all firms that regularly make markets, or otherwise perform important liquidity-providing roles, to register as dealers or government securities dealers also could help level the playing field among firms and enhance the resiliency of our markets.

  • Moscow Exchange Plans To Convene AGM In Absentia On 28 April

    Date 28/03/2022

    On 25 March 2022, the Supervisory Board of Moscow Exchange resolved to convene and hold the Annual General Meeting of Shareholders (AGM) in absentia on 28 April 2022.

  • Operational Wind-Down Of Eurex STS Following Regulatory Changes

    Date 28/03/2022

    Eurex Securities Transactions Services GmbH (Eurex STS) will wind down its services with effect from 30 June 2022. Eurex STS is thus responding to the “Refit” draft of the Central Securities Depository Regulation (CSDR) published by the European Commission on 16 March 2022, which proposes to remove mandatory buy-ins for not settled securities deliveries. 

  • ESMA Proposes Amendments On The Review Of Transparency Requirements Under MiFIR

    Date 28/03/2022

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today proposed targeted amendments to some of its Regulatory Technical Standards (RTS 1 and RTS 2) which specify the Markets in Financial Instruments Regulation (MiFIR) transparency requirements for equity and non-equity respectively. These amendments aim to clarify, improve and simplify the transparency regime for equity and non-equity instruments.

  • SEC To Host Free Virtual Outreach Event To Help Older Adults And Their Caregivers Avoid Financial Fraud

    Date 28/03/2022

    The U.S. Securities and Exchange Commission is hosting a free virtual outreach event entitled, Safeguarding the Golden Years: Avoiding Financial Fraud, on Thursday, March 31, 2022 to help educate older adults and their caregivers on the unique challenges of investing in an increasingly complicated market.