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Liberty’s Loss, SEC Commissioner Hester M. Peirce, Washington D.C., Dec. 10, 2020 - Remarks To The Federalist Society’s Capital Conversations: A Teleforum Series

Date 10/12/2020

Thank you, Dean [Reuter].  I have to start with my standard disclaimer, which is that my views represent my own views and not necessarily those of the Securities and Exchange Commission or my fellow Commissioners.  Last week, the nation lost economist Walter Williams.  Dr. Williams, in addition to his academic research, spent his career explaining economics to both graduate and undergraduate students in the classroom and ordinary people in his syndicated columns. 

FIA November 2020 SEF Tracker

Date 10/12/2020

FINRA: Maintaining Over $100 In Savings Linked To Increased Likelihood Of Financial Stability In Lower Income Households

Date 10/12/2020

As many Americans head into the holidays unemployed and behind in rent and utility bills, a new report from the FINRA Investor Education Foundation and SaverLife found that people who maintained more than $100 in savings were much less likely to have their utilities shut off or resort to high-cost borrowing methods. Those who had more than $250 in savings experienced reduced likelihood of losing their housing for financial reasons. In addition, individuals with a savings balance over $100 were much more likely to say they were financially satisfied.

SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For The New Year’s Day Holidays

Date 10/12/2020

SIFMA has confirmed its previous holiday recommendations for the U.S., the U.K., and Japan in observance of the New Year’s Day holidays.

Ontario Securities Commission Provides Update On Guidance On Automatic Securities Disposition Plans And Automatic Securities Purchase Plans

Date 10/12/2020

The Ontario Securities Commission (OSC) is providing an update on local guidance on automatic securities disposition plans (ASDPs) and automatic securities purchase plans.

CFTC’s Global Markets Advisory Committee To Meet December 17

Date 10/12/2020

The Global Markets Advisory Committee (GMAC) today announced it will hold a public meeting on Thursday, December 17, 2020. The meeting will begin at 9:15 a.m. (EST) via teleconference in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic. CFTC Commissioner Dawn Stump is the sponsor of the GMAC.

Ontario Securities Commission Publishes Report On Exempt Market Activity

Date 10/12/2020

The Ontario Securities Commission today published a report on capital raising activity by corporate (non-investment fund) issuers in Ontario’s exempt market between 2017 and 2019. The report provides a snapshot of key trends relevant to investors and issuers.

British Columbia Securities Commission Gaining Greater Insight On Fintech Through New Stakeholder Forum

Date 10/12/2020

The British Columbia Securities Commission (BCSC) is gaining valuable insights from the financial technology (fintech) community through a new advisory group.

Canadian Securities Regulators Publish Guidance On Automatic Securities Disposition Plans

Date 10/12/2020

The Canadian Securities Administrators (CSA) today published guidance for issuers and insiders on the establishment, use and disclosure of automatic securities disposition plans (ASDPs). ASDPs enable insiders to make preplanned sales of securities of an issuer through a dealer or an arms-length administrator, according to a predetermined schedule and set of instructions.

Cboe Global Markets Announces Date Of Fourth-Quarter 2020 Earnings Release And Conference Call

Date 10/12/2020

Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, today said it will announce its financial results for the fourth quarter of 2020 before the market opens on Friday, February 5, 2021. A conference call with remarks by the company's senior management will begin at 7:30 a.m. Central Time (CT), 8:30 a.m. Eastern Time (ET).