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Federal Reserve Board Votes To Affirm The Countercyclical Capital Buffer (CCyB) At The Current Level Of 0 Percent

Date 18/12/2020

The Federal Reserve Board announced on Friday it has voted to affirm the Countercyclical Capital Buffer (CCyB) at the current level of 0 percent. In making this determination, the Board followed the framework detailed in the Board's policy statement for setting the CCyB for private-sector credit exposures located in the United States.
Ontario Securities Commission Panel Approves Settlement With Bloomberg Trading Facility Limited And Bloomberg Trading Facility B.V.

Date 18/12/2020

A Panel of the Ontario Securities Commission (OSC) today approved a settlement agreement with Bloomberg Trading Facility Limited (BTFL) and Bloomberg Trading Facility B.V. (BV), two foreign-based firms that operate multilateral trading facilities for fixed income securities and swaps. The settlement follows allegations by OSC Staff that the firms operated marketplaces without authorization in Ontario, filed applications for exemptive relief with the Commission containing incomplete and inaccurate information and, in the case of BTFL, failed to comply with terms and conditions set out in an exemptive relief order.
Miami International Holdings Acquires 100% Ownership Of The Bermuda Stock Exchange - Electronic Trading Leader Will Leverage BSX's Well-Established Financial Reputation And New Digital Asset Focus To Further Diversify Its Electronic Exchange Offerings

Date 18/12/2020

Miami International Holdings (MIH), the parent holding company of MIAX®, and the Bermuda Stock Exchange (BSX) today announced that MIH has acquired 100% ownership of the BSX. MIH previously announced the acquisition of a majority interest in the exchange in November 2019. The BSX will continue its operations as a wholly owned subsidiary of MIH.
Statement After The Enactment Of The Holding Foreign Companies Accountable Act, SEC Chairman Jay Clayton, Dec. 18, 2020 - Harmonizing The Act And The Report Of The President’s Working Group On Financial Markets

Date 18/12/2020

Over the last several years, my colleagues and I have taken a number of actions to bring greater attention to, and to further address, the various risks associated with investing in emerging markets, including China. Additionally, as part of the President’s Working Group on Financial Markets, I supported the July 2020 release of the Report on Protecting United States Investors from Significant Risks from Chinese Companies (“PWG Report”).
Federal Reserve Board Releases Second Round Of Bank Stress Test Results

Date 18/12/2020

The Federal Reserve Board on Friday released a second round of bank stress test results this year, which showed that large banks had strong capital levels under two separate hypothetical recessions.

MIAX Business Continuity And Disaster Recovery Plans Testing, Member Designation Standards

Date 18/12/2020

As required by Regulation Systems Compliance and Integrity and MIAX Options Rule 321, which is incorporated by reference into both the MIAX Pearl and MIAX Emerald Exchange Rule Books, and thus applicable to Members of both Exchanges, certain Members of the MIAX Exchanges will have mandatory participation requirements in the annual SIFMA Business Continuity Planning Disaster Recovery (“BC/DR”) test. Please refer to the following for more information on designation standards and requirements for Designated Members.
CFTC Commitments Of Traders Update

Date 18/12/2020

The current reports for the week of December 15, 2020 are now available.
Ontario Securities Commission Charges Principals Of Yonge Street Capital LLC With Securities Act Offences

Date 18/12/2020

The Ontario Securities Commission (OSC) announced today that Nathanael Anthony Aikman, who currently resides in Coquitlam, British Columbia, and Syed Saad Aziz and Jazib Ali Khan, both from the Toronto, Ontario area, have been charged with offences under the Securities Act (Ontario).
MIAX Exchange: Electronic Filing Of Annual Reports

Date 18/12/2020

MIAX Exchange Members are reminded that, in connection with the Regulatory Services Agreement between the Exchange and FINRA, the filing of annual reports has been transitioned to the electronic filing platform available via FINRA’s Firm Gateway.
SEC Charges Biotech Company And CEO With Fraud Concerning COVID-19 Blood Testing Device

Date 18/12/2020

The Securities and Exchange Commission today announced charges against California-based biotechnology company Decision Diagnostics Corp. and its CEO, Keith Berman, with making false and misleading claims in numerous press releases that the company had developed a working, break-through technology that could accurately detect Covid-19 through a quick blood test. The SEC temporarily suspended trading in Decision Diagnostics' securities on April 23, 2020.