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Statement On Staff No-Action Letter Regarding Amended Rule 15c2-11 In Relation to Fixed Income Securities, SEC Commissioner Hester M. Peirce, Sept. 24, 2021

Date 24/09/2021

The Commission’s amendments to Exchange Act Rule 15c2-11 that were finalized last fall will take effect next week. In recent months, market participants have raised concerns about the potentially significant negative effects of these amendments on trading in the fixed-income markets. I agree with the staff of the Division of Trading and Markets that relief is necessary to forestall these effects. However, the time-limited relief—three months—being granted in the no-action letter released today is wholly inadequate to that need. Instead, we should issue longer Commission-level no-action relief and reopen the rulemaking as part of a broader fixed-income modernization initiative.
NYSE Group Consolidated Short Interest Report

Date 24/09/2021

NYSE today reported short interest as of the close of business on the settlement date of September 15, 2021.
Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 15, 2021

Date 24/09/2021

At the end of the settlement date of September 15, 2021, short interest in 2,819 Nasdaq Global Market^SM securities totaled 8,628,581,482 shares compared with 8,628,020,542 shares in 2,803 Global Market issues reported for the prior settlement date of August 31, 2021. The mid-August short interest represents 3.48 days compared with 3.22 days for the prior reporting period.
Ontario Securities Commission Announces Investment Funds Technical Advisory Committee Members

Date 24/09/2021

The Ontario Securities Commission (OSC) announced today the membership of the Investment Funds Technical Advisory Committee (IFTAC) for the 2021-2023 term.
Canadian Securities Administrators Hosting Roundtable On ESG-Related Regulatory Issues In Asset Management

Date 24/09/2021

The Canadian Securities Administrators (CSA) is hosting a virtual roundtable on environmental, social and governance (ESG) related regulatory issues in asset management on Monday, September 27, 2021 from 1:00 p.m. – 3:00 p.m. ET.

Nadex Adds 2-Hour Binary Contracts In Its US Indices

Date 24/09/2021

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and section §40.2(a) 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”) submitted to the Commission on September 24, 2021 its intent to add new Intraday 2-Hour Binary contracts which will expire at 5:00pm ET Monday through Thursday in its US 500, US SmallCap 2000, US Tech 100, and Wall Street 30 contracts, set forth in Nadex Rules 12.59, 12.61, 12.63, and 12.65.
U.S. Department Of The Treasury Announces New U.S. Mint Acting Director

Date 24/09/2021

Today, the U.S. Department of the Treasury announced Alison Doone as the new Acting Director of the U.S. Mint. Doone previously served as Chief Administrative Officer at the Mint. Doone’s first day as Acting Director will be on October 1 as Director David J. Ryder leaves the bureau to pursue new opportunities.
CFTC Commitments Of Traders Reports Update

Date 24/09/2021

The current reports for the week of September 21, 2021 are now available.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With French Minister Of Finance, The Economy, And The Recovery Bruno Le Maire

Date 24/09/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with French Minister of Finance, the Economy, and the Recovery Bruno Le Maire. Following the historic agreement by the G7 in earlier this summer – which was later supported by 134 countries representing more than 90% of the world’s GDP – to reform international tax rules, Secretary Yellen today expressed continued support for ongoing efforts to improve the global tax system. Secretary Yellen also stressed the importance of reaching a compromise on the withdrawal of digital services taxes. Secretary Yellen conveyed appreciation for Minister Le Maire’s dedication to the effort of reforming the global tax system so it is equipped to meet the needs of today’s global economy. She also discussed with Finance Minister Le Maire the need for continued cooperation between the U.S., France, and other G20 members to enhance support for low-income countries to mitigate further divergence in the global economic recovery.
SEC Charges Two Companies And Their Principals With Misleading Investors In More Than A Dozen Oil And Gas Securities Offerings

Date 24/09/2021

The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound Resources LLC, with making material misrepresentations and omissions in connection with more than a dozen unregistered oil and gas securities offerings. Powell and Toth were also charged with acting as unregistered brokers. All respondents have agreed to settle the SEC action.