Date 17/11/2021
Thank you for that kind introduction. It’s good to be here for the seventh annual U.S. Treasury Market Conference. Thank you to the conference organizers and my colleagues across the Inter-agency Working Group on Treasury Market Surveillance (IAWG) for putting together this event. As is customary, I’d like to note that I’m not speaking on behalf of my fellow Commissioners or the SEC staff.
Date 17/11/2021
The Investment Industry Regulatory Organization of Canada (IIROC) welcomes the Government of Newfoundland and Labrador's passage of Bill 16, An Act to Amend the Securities Act, that strengthens investor protection, and safeguards seniors and vulnerable retail investors.
Date 17/11/2021
Thank you Carla [Garrett] and all members of the Small Business Capital Formation Committee. It’s good to be with you again. I thank you for your continued dedication to small businesses in America. I’d like to note I’m not speaking on behalf of the Commission or the SEC staff.
Date 17/11/2021
Thank you to the staff in the Division of Corporation Finance, Division of Economic and Risk Analysis, and the Office of the General Counsel for their exceptional and thoughtful work in advance of today’s meeting.
Date 17/11/2021
November 22, 2021
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WHAT: |
Commissioner Dawn D. Stump will participate in a fireside chat sponsored by the Derivatives and Futures Law Committee and the FinTech Regulation and Enforcement Committee of the D.C. Bar Corporation, Finance and Securities Law Community |
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WHEN: |
Monday, November 22, 2021 |
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WHERE: |
Virtual event. More information here: |
Date 17/11/2021
Congratulations to the rulemaking team from the Division of Corporation Finance, as well as the staff within the Division of Economic and Risk Analysis and the Office of the General Counsel. This rulemaking has been several years in the making,[1] and I am glad that we are here today to finalize it.
Date 17/11/2021
I cannot support today’s proposal. The Commission lacks a sound basis for seeking to amend a brand new rule. Nothing has changed since we adopted the rule, and we have not learned anything new. The release takes a stab at justifying the rewrite, but we might as well simply acknowledge that the political winds have shifted.
Date 17/11/2021
In recognition of the role Special Purpose Acquisition Companies (SPACs) play in catalyzing economic growth through public markets Nigeria and Africa, Nigerian Exchange Limited (NGX) hosted a webinar with the theme SPACs: An Alternative Route to Public Markets on Wednesday, 17 November 2021.
Date 17/11/2021
The U.S. payment system is experiencing a technology-driven revolution. Shifting consumer preferences and the introduction of new products and services from a wide variety of new entities have led to advancements in payments technology. This dynamic landscape has also sparked an active policy debate—about the risks these new developments pose, how regulators should address them, and whether the government should offer an alternative of its own.
Date 17/11/2021
As per the Securities market risk parameters methodology, on 17.11.2021, 20-24 (MSK) the lower bound of the price band (up to 7510) and initial margins (up to 18.75 %) for the security FIS-RM were changed. New values are available here
