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FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. To Pay $8.4 Million In Restitution To Customers For Supervisory Failures Involving Unit Investment Trusts

Date 25/06/2021

FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $8.4 million in restitution to more than 3,000 customers who incurred potentially excessive sales charges in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $3.25 million for failing to reasonably supervise early UIT rollovers.
SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme

Date 25/06/2021

The Securities and Exchange Commission today announced charges against Amec Foster Wheeler Limited (Foster Wheeler) for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme that took place in Brazil. As part of coordinated resolutions with the SEC, the U.S. Department of Justice, the Brazil Controladoria-General da Uniᾶo (CGU)/Advocacia-Geral da Uniᾶo (AGU) and the Ministério Publico Federal (MPF), and the United Kingdom Serious Fraud Office (SFO), the company has agreed to pay more than $43 million related to this scheme, including more than $10.1 million to settle the SEC's charges.
Nadex Temporarily Amends Binary Contracts Strike Width

Date 25/06/2021

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) hereby provides notice that due to increased volatility in the underlying markets upon which the Nadex contracts are based, Nadex made changes to the strike widths of various contracts during the week of June 21, 2021 as indicated in the Weekly Notice.
Canadian Securities Regulators Publish IIROC Oversight Review Report

Date 25/06/2021

The Canadian Securities Administrators (CSA) today released its Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC), which evaluates whether IIROC has complied with the terms and conditions of its Recognition Orders, and whether specific regulatory processes are effective, efficient and applied consistently and fairly.
CME Group: Micro Bitcoin Futures Surpass 1 Million Contracts Traded

Date 25/06/2021

CME Group, the world's leading and most diverse derivatives marketplace, announced that Micro Bitcoin futures volume surpassed 1 million contracts on Friday, June 25.

MIAX Exchange Group - Options Markets - New Option Listings Effective For June 28, 2021

Date 25/06/2021

The attached option classes will begin trading on the MIAX Options Exchange, the MIAX PEARL Options Exchange, and the MIAX Emerald Options Exchange on Monday, June 28, 2021.
NGX Weekly Market Report For June 25th, 2021

Date 25/06/2021

A total turnover of 1.006 billion shares worth N10.330 billion in 17,165 deals were traded this week by investors on the floor of the Exchange, in contrast to a total of 981.147 million shares valued at N10.384 billion that exchanged hands last week in 15,001 deals.
Joint Readout Of Principals Meeting Of U.S. And UK Authorities Regarding Central Counterparty Resolution

Date 25/06/2021

Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and the Bank of England convened a virtual meeting today to discuss certain issues relating to the concept of resolution of a central counterparty (CCP). This meeting was one of a regular series of senior-level meetings held since 2017 to share views on CCP resolution and review the progress of an ongoing program of joint work among the agencies.
Moscow Exchange: Risk Parameters For New Shares

Date 25/06/2021

New shares will be accepted to margin trading starting from July 1, 2021. From this date on, risk parameters will be applied according to the table below.
U.S. Chamber Calls For Reciprocity On US-EU Travel Opening

Date 25/06/2021

Marjorie Chorlins, U.S. Chamber Senior Vice President for European Affairs, issued the following statement urging the U.S. government to lift restrictions on European travelers to the United States. While Europe has moved forward with plans to ease restrictions following the recent U.S.-EU Leaders’ Summit, the United States has yet to offer reciprocal access.