News Centre

Monetary Authority Of Singapore Response To "Are Banks Observing Due Diligence Before Selling Elderly Customers High-Risk Products" - The Straits Times, 15 June 2020

Date 19/06/2020

Dear Editor,

Safeguards for the Sale of Investment Products to Vulnerable Customers

We thank Ms Sim Chwee Sean for her letter "Are Banks Observing Due Diligence Before Selling Elderly Customers High-Risk Products" on 15 June 2020.

New Zealand Financial Markets Authority Publishes Auditor Regulation And Oversight Plan

Date 19/06/2020

The Financial Markets Authority (FMA) has published its Auditor Regulation and Oversight Plan 2020-2023.

Remarks At The Annual Government-Business Forum On Small Business Capital Formation, SEC Commissioner Elad L. Roisman, June 18, 2020

Date 19/06/2020

Good morning and welcome everyone to what I am pretty sure is the thirty-ninth annual, but first ever virtual, Government-Business Forum on Small Business Capital Formation. I attended the past two forums, in Columbus and Omaha, and think of them as among the best events the SEC has held. Each drew knowledgeable and diverse participants, had panels that discussed great ideas, and helped shape my own thinking and appreciation for entrepreneurship.

CFTC To Hold An Open Commission Meeting On June 25

Date 19/06/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Thursday, June 25, 2020 at 10:00 a.m. (EDT). The meeting will be held via conference call in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

Remarks To The Annual Government-Business Forum On Small Business Capital Formation, SEC Chairman Jay Clayton, June 18, 2020

Date 18/06/2020

Welcome to the 39th Annual Small Business Forum. I want to thank Martha and the staff in the Office of the Advocate for Small Business Capital Formation - that includes Colin, Jenny, Jessica, Julie, Malika and Todd - for their significant efforts to forge ahead and organize this virtual forum.

Report From FINRA Board Of Governors Meeting – June 2020 - Board Approves Annual Financial Report, Enforcement Digital Transformation Initiative And Three Rulemaking Items

Date 18/06/2020

FINRA's Board of Governors met virtually on June 10 and 11. During the meeting, the Board approved three rulemaking items and approved the organization's Annual Financial Report, which FINRA issues each year to provide transparency regarding its finances. The 2019 report will be published in the coming weeks.

Remarks At The Virtual Small Business Forum, SEC Commissioner Hester M. Peirce, June 18, 2020

Date 18/06/2020

Good afternoon. Thank you to Martha Miller and her team for putting together this virtual forum and thank you to the participants for taking time out of your busy schedules today to share your first-hand knowledge of the challenges small businesses face in raising capital. Today’s agenda is ambitious, so I will keep my remarks brief.

ISDA Create Extends Online Negotiation To New Documents

Date 18/06/2020

ISDA and Linklaters have announced they will make three new documentation modules available on ISDA Create during 2020. This expansion will allow users to agree additional documents online, bringing further automation and efficiency to the negotiation of derivatives agreements.

Remarks At The 39th Annual Government-Business Forum On Small Business Capital Formation, SEC Commissioner Allison Herren Lee, June 18, 2020

Date 18/06/2020

Good morning and thank you for having me at the 39th annual Government-Business Forum on Small Business Capital Formation. I wish we could all be sitting together in the same room, but I’m grateful that we are able to go forward with the Forum in a virtual environment. I want to thank our Small Business Advocate, Martha Legg Miller, and her staff for putting together this excellent program. Thanks also to all the speakers and panelists for coming together today to share your experiences and insights.

BOX Exchange: Bid-Ask Differentials For Various Symbols Through September 19, 2020

Date 18/06/2020

BOX Exchange LLC (“BOX”), by its authority under the provisions of BOX Rule 8040, has temporarily established modified bid-ask differentials for the following option classes. The below Market Maker quote width requirements will be effective through September 19, 2020 unless withdrawn by BOX prior to that time.