News Centre

NYSE Group Consolidated Short Interest Report

Date 10/03/2022

NYSE today reported short interest as of the close of business on the settlement date of February 28, 2022.

SIFMA Statement On Senate Passage Of LIBOR Legislation

Date 10/03/2022

SIFMA released the following statement from president and CEO Kenneth E. Bentsen, Jr., on the passage of the Adjustable Interest Rate (LIBOR) Act by the U.S. Senate:

“We commend the Senate’s bipartisan passage of the Adjustable Interest Rate (LIBOR) Act, sponsored by Senators Jon Tester (D-MT) and Thom Tillis (R-NC), with Chairman Brown (D-OH), Ranking Member Toomey (R-PA) and Representative Brad Sherman (D-CA)."

IIROC’s Compliance Priorities Report Helps Firms Fulfill Regulatory Requirements While Protecting Canadian Investors

Date 10/03/2022

The Investment Industry Regulatory Organization of Canada (IIROC) published its 2021-22 Compliance Priorities Report, Helping Firms with Compliance, which summarizes current regulatory changes and issues that IIROC-regulated investment firms should focus on to protect investors and support healthy Canadian Capital markets.

Developments In Crypto Derivatives, March 10, 2022, Opening Remarks, Scott O’Malia, ISDA Chief Executive

Date 10/03/2022

Hello everyone, and welcome to ISDA’s Developments in Crypto Derivatives event. Thank you for joining us today, and thanks to our speakers and panelists.

BOX Exchange: Invalid And Incomplete Message Transmissions

Date 10/03/2022

BOX Exchange LLC (the “Exchange”) is distributing this Regulatory Circular to inform Participants that message transmissions sent to BOX Options Market (“BOX”) systems should be complete and populated with valid data content.

Canadian Securities Administrators Seeks Applications For Investor Advisory Panel

Date 10/03/2022

The Canadian Securities Administrators (CSA) is inviting applications for membership on its Investor Advisory Panel (CSA IAP).

FIA: February 2022 SEF Tracker

Date 10/03/2022

BOX Exchange: Maximum Order And Quote Quantity Protection

Date 10/03/2022

Effective March 11, 2022, BOX Exchange LLC (the “Exchange”) will modify certain ActivityBased Protections. Specifically, the Exchange will increase the Maximum Order and Quote Quantity from 99,999 to 999,999. Participants may designate a specific size protection on a classby-class basis by contacting the Market Operations Center (“MOC”). The most restrictive value (i.e., the smallest value) between the Exchange default and Participant provided value will be used. For more information on the Activity-Based Protections available on BOX, see BOX Informational Circular IC-2016-15. 

Fraud Prevention Month: Canadian Securities Administrators Encourages Canadians To Invest In Asking Questions Before Investing In Crypto Assets

Date 10/03/2022

For Fraud Prevention Month this March, the Canadian Securities Administrators (CSA) is reminding Canadians to do their own research and ask questions before investing in crypto assets. Increased knowledge can help investors make informed decisions, reduce the risk of losses and avoid crypto investment scams.

CFTC Awards Approximately $500,000 To Two Whistleblowers

Date 10/03/2022

The Commodity Futures Trading Commission today announced awards totaling approximately $500,000 to two whistleblowers. The whistleblowers separately provided significant information and substantial assistance that helped the Division of Enforcement expand the scope of an existing investigation and lead the Division to other key evidence supporting the enforcement action.