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Senate Economics Legislation Committee – Budget Estimates: Opening Statement By Karen Chester, ASIC Acting Chair, At The Senate Economics Legislation Committee – Budget Estimates, 27 October 2020

Date 27/10/2020

Thank you Mr Chairman, and good afternoon Committee members. I do have a brief opening statement and then we would be happy to take your questions.
SIFMA Comments On The Department Of Labor Proposed Rulemaking On Independent Contractor Status

Date 26/10/2020

SIFMA submitted a comment letter today on the Department of Labor’s notice of proposed rulemaking to revise its interpretation of independent contractor status under the Fair Labor Standards Act. The proposed rule would replace the existing six-factor “economic realities” test with a similar but streamlined test that ultimately answers whether a worker is in business for themselves or is economically dependent on the employer for work.
NYSE Group Consolidated Short Interest Report

Date 26/10/2020

NYSE today reported short interest as of the close of business on the settlement date of October 15, 2020
Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date October 15, 2020

Date 26/10/2020

At the end of the settlement date of October 15, 2020, short interest in 2,517 Nasdaq Global MarketSM securities totaled 8,261,327,139 shares compared with 8,379,625,495 shares in 2,499 Global Market issues reported for the prior settlement date of September 30, 2020. The mid-August short interest represents 3.17 days compared with 2.83 days for the prior reporting period.
CFTC To Hold An Open Commission Meeting On November 2

Date 26/10/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Monday, November 2, 2020 at 9:30 a.m. (EST). The meeting will be held virtually in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

Statement At The SEC’s Staff Roundtable On Regulation Best Interest And Form CRS, SEC Chairman Jay Clayton, Oct. 26, 2020

Date 26/10/2020

Good afternoon and welcome to the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS.[1] We hope that this event provides useful information to broker-dealers and investment advisers in complying with these key regulatory enhancements. Staff from the Commission’s Division of Trading and Markets, Division of Investment Management and Office of Compliance Inspections and Examinations, together with staff from FINRA, will present some insights and feedback as we approach the four-month anniversary of the June 30 Reg BI and Form CRS compliance date.
SIFMA Statement On Successful Completion Of Industry-Wide Business Continuity Test

Date 26/10/2020

SIFMA today issued the following statement from SIFMA president and CEO Kenneth E. Bentsen, Jr. on the successful completion of the industry-wide test:

“On October 24, SIFMA led a successful business continuity test. This test is a critical exercise which highlights our industry’s ability to operate through a significant emergency using backup sites, recovery facilities and backup communications capabilities across the industry. The test combined large scale connectivity testing with the annual test program mandated by Regulation SCI."
Proposed Rule Change To Amend The FINRA Codes Of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria And Certain Arbitration Fees

Date 26/10/2020

Please refer to the following for details regarding the proposed rule change to the FINRA Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to increase arbitrator chairperson honoraria and increase certain filing and hearing session fees.
FORTUNE And Refinitiv Encourage Unprecedented Corporate Diversity Disclosure And Accountability Through New Measure Up Partnership

Date 26/10/2020

FORTUNE and Refinitiv today announced a new partnership that aims to make corporate diversity disclosure the new standard of doing business. At the 2020 FORTUNE CEO Initiative meeting, FORTUNE senior editor Ellen McGirt and Refinitiv CEO David Craig discussed FORTUNE’s Measure Up Initiative, powered by Refinitiv’s environmental, social, and corporate governance (ESG) data. Measure Up will help business leaders across industries tackle one of the biggest barriers to a just and equitable society: the continued lack of racial and ethnic diversity in corporate workplaces. FORTUNE and Refinitiv will begin this work by establishing diversity disclosure and accountability as a critical metric for stakeholder-driven businesses, and will disclose their own diversity and inclusion (D&I) data as well.
Socure Unveils Sigma Synthetic Fraud, A New Way To Identify And Combat Synthetic Identity Fraud - Businesses Using Socure’s Sigma Synthetic Fraud Solution Achieve Auto-Capture Rates Over 90% On Synthetic Identity Fraud In The Riskiest 3% Of Users, For Both New And Existing Accounts - Launch Debuts On The First Day Of Money20/20’s MoneyFest Event

Date 26/10/2020

Socure, the leader in Day Zero digital identity verification, today announced the launch of Sigma Synthetic Fraud, its latest addition to the Socure ID+ platform to address the complex and rapidly growing problem of synthetic identity fraud. Synthetic ID fraud, which involves fictitious, created identities that have been cultivated over months and even years, represents the next wave of complex fraud and financial theft online.