News Centre

CFTC Orders Mizuho Capital Markets LLC To Pay $1.5 Million For Swap Portfolio Reconciliation, Other Compliance And Supervision Failures

Date 27/09/2021

The Commodity Futures Trading Commission today filed and settled charges against Mizuho Capital Markets LLC, a provisionally registered swap dealer, for failing to comply with certain swap dealer requirements concerning reconciling swap portfolios with its counterparties; providing disclosures to counterparties concerning the daily mid-market mark of swaps; and reporting swap transactions to a swap data repository (SDR); and related supervision failures. 

Nadex Product Schedule For The China Holidays October 1-7, 2021

Date 27/09/2021

Due to the China holiday on Friday, October 1, 2021, the China 50 contracts will have a modified trading schedule.

Asset Management Advisory Committee, SEC Commissioner Hester M. Peirce, Sept. 27, 2021

Date 27/09/2021

Thank you, Ed [Bernard].  And thanks to all the hard-working Committee members and panelists.  When Chairman Jay Clayton announced the formal establishment of the AMAC nearly two years ago, he charged it with helping “the Commission ensure that our regulatory approach to asset management meets the needs of retail investors and market participants at a time when the industry is evolving rapidly.” Over the next two years, the AMAC succeeded in addressing many of the pressing issues facing asset managers, and I for one have profited from the work and contribution each of you has made. 

Market For Underlying Security Used For Openings On MIAX Options, MIAX Pearl Options And MIAX Emerald Options For Newly Listed Option Classes Effective Tuesday, September 28, 2021

Date 27/09/2021

Please refer to the Regulatory Circulars listed below for newly added symbols and the corresponding market for the underlying security used for openings on the MIAX Exchanges. The newly listed symbols will be available for trading beginning Tuesday, September 28, 2021.

Remarks At The Meeting Of The Asset Management Advisory Committee, Sarah ten Siethoff, SEC Acting Director, Division Of Investment Management, Sept. 27, 2021

Date 27/09/2021

Good morning and welcome to this meeting of the Asset Management Advisory Committe

Before I start, I would like to remind you that I am speaking only for myself and not for the Commission, the Commissioners, or the staff.

MIAX Options Exchange - MIAX Product Feed (MPF) Will Disseminate Capital Gains Tax Rate Index Cash And Settlement Values Beginning October 4, 2021

Date 27/09/2021

MIAX Product Feed (MPF) will begin disseminating the SIL U.S. Capital Gains Tax Rate Index cash value (symbol: CAPG) and the CAPG index settlement value (symbol: CAPGS) for the SIL U.S. Capital Gains Rate Index, beginning Monday, October 4, 2021. The CAPG index was developed by SIG Index Licensing, LLC.

Moscow Exchange: Risk Parameters On Securities Market

Date 27/09/2021

CCP NCC sets the following risk parameters on Securities market starting from 28.09.2021:

Navigating Delta Headwinds On The Path To A Full Recovery, Federal Reserve Governor Lael Brainard At "Shocks, Shifts, And The Emerging Economic Landscape" 2021 Annual Meeting Of The National Association For Business Economics, Arlington, Virginia

Date 27/09/2021

It is a great honor to join the community of NABE Fellows, and I want to express my appreciation to the Board of Directors of NABE.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 27/09/2021

CCP NCC changes PcH_max parameter value that defines price up limit on Securities market starting from September 28, 2021:

Security Traders Association Announces Winners Of 2021 STA Foundation Awards

Date 27/09/2021

Security Traders Association (STA) is pleased to today announce the recipients of the 2021 STA Foundation Awards. The annual STA Foundation Awards recognize individuals within the financial services industry who have made outstanding efforts in any of several areas, including stewardship and service, advocacy, philanthropy, and ethics.