News Centre

Joint Statement From The Canadian Securities Administrators And The Investment Industry Regulatory Organization Of Canada On The Recent Market Volatility

Date 01/02/2021

The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) are closely monitoring how extreme price movement of certain stocks may be contributing to volatility in Canada’s capital markets. We will take appropriate regulatory action to protect investors if we identify that abusive or manipulative trading activity may be taking place.

BOX Exchange Penny Program Additions

Date 01/02/2021

The permanent Penny Interval Program for options (the “Penny Program”), was adopted on July 1, 2020 by BOX Exchange LLC (“BOX”) and includes provisions for active new issues to be added to the Penny Program.

NZX Full Year 2020 Shareholder & NZ RegCo Qrtly Metrics

Date 01/02/2021

Please see attached NZX Limited Full Year 2020 Shareholder and NZ RegCo Quarterly Metrics.

SEC Charges Three Individuals In Digital Asset Frauds

Date 01/02/2021

The Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings.

Statement Of CFTC Acting Chairman Rostin Behnam On Trading In Silver Markets

Date 01/02/2021

Commodity Futures Trading Commission Acting Chairman Rostin Behnam released the following statement regarding recent trading in the silver markets:

“The CFTC is closely monitoring recent activity in the silver markets,” said Acting Chairman Behnam. “The Commission is communicating with fellow regulators, the exchanges, and stakeholders to address any potential threats to the integrity of the derivatives markets for silver, and remains vigilant in surveilling these markets for fraud and manipulation.”

MIAX Exchange Group - Options Markets - Option Classes To Be Added To The Penny Interval Program Beginning Tuesday, February 2, 2021

Date 01/02/2021

The following option classes will be included in the MIAX Exchange Groups' Penny Interval Program at the start of trading on Tuesday, February 2, 2021:

• Airbnb Inc. (ABNB)
• DoorDash Inc. (DASH)

QuantConnect: Democratizing Finance Before It Was Cool: Opening Our Market For Alpha

Date 01/02/2021

Our mission at QuantConnect is to democratize quantitative finance and empower individuals: we do this by providing institutional-grade trading tools to all levels of quantitative traders. We have seen firsthand in the past few weeks — with r/WallStreetBets-inspired retail trading influx — that the retail trader is incredibly powerful, and we want to continue to change the landscape of retail trading by providing everyone access to high-level alpha. 

Fiserv Named A World’s Most Admired Company For 2021 - Recognized For Strength In Leadership: Received Highest Marks In People Management, Social Responsibility, Innovation, Use Of Corporate Assets, Long-Term Investment Value - Ranking Marks Eight Consecutive Years Of Distinction

Date 01/02/2021

Fiserv, Inc. (NASDAQ: FISV), a leading global provider of financial services technology solutions, has been named to the annual ranking of FORTUNE “World’s Most Admired Companies®” for the eighth consecutive year. This index determines the best-regarded companies across industry sectors, and is widely considered to be the definitive scorecard on corporate reputation.

Remarks At The Meeting Of The Small Business Capital Formation Advisory Committee, SEC Commissioner Elad L. Roisman, Washington D.C., Jan. 29, 2021

Date 01/02/2021

Good morning.  I’m very pleased to be here today and to hear from all of you.  Almost a year in, it seems unnecessary to comment on the fact that the format of this event is not our typical format, or on the fact that the Commission, this Committee, and Martha and her team have been able to continue this important work in the face of unprecedented circumstances.  We at the SEC have slipped relatively easily into remote work, and while there have been a few hiccups along the way, many of us have grown accustomed to this new normal. 

U.S. Department Of The Treasury Announces Marketable Borrowing Estimates

Date 01/02/2021

The U.S. Department of the Treasury today announced its current estimates of privately-held net marketable borrowing for the January - March 2021 and April - June 2021 quarters.