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SEC Operating Status - Covid-19

Date 10/03/2020

Many SEC staff located in the SEC's Washington, DC headquarters are currently teleworking. During this period, the SEC remains fully operational and focused on fulfilling our mission on behalf of America’s investors and its markets.
Hazeltree Appoints Marshall Saffer Vice President And Head Of Americas Sales To Support Growth Strategy - Hazeltree Expands Sales Organization To Leverage ENSO Financial Analytics Acquisition

Date 10/03/2020

Hazeltree, the leading provider of integrated treasury and portfolio finance solutions, today announced the appointment of industry veteran, Marshall Saffer, as Vice President and Head of Americas Sales, to support Hazeltree’s expansion plans post the acquisition of ENSO Financial Analytics. Mr. Saffer comes to Hazeltree with over 25 years of experience in the alternative software industry across a variety of functions, from sales and business development to professional services.
FINRA Launches New Data On Treasury Securities Trading Volume - Treasury Aggregate Statistics To Provide More Transparency In Marketplace

Date 10/03/2020

FINRA today for the first time posted weekly, aggregate data on the trading volume of Treasury securities reported to TRACE®, FINRA’s Trade Reporting and Compliance Engine®.
Ontario Securities Commission Announces New Members Of The Investor Advisory Panel

Date 10/03/2020

The Ontario Securities Commission (OSC) today announced two new members of its independent Investor Advisory Panel (IAP).
CFTC Designates Small Exchange, Inc. As A Contract Market

Date 10/03/2020

The Commodity Futures Trading Commission today announced that it has issued an Order of Designation to Small Exchange, Inc., located in Chicago, Ill., granting it status as a designated contract market (DCM), effective today. Small Exchange is incorporated under Delaware state law.

IIROC: Guidance On COVID-19

Date 10/03/2020

The health and safety of all market participants is of paramount importance to IIROC. In response to the risks associated with COVID-19, investment firms are considering the effects of a potential global pandemic on their client service and regulatory obligations, with some taking pre-emptive measures.
NYSE Group Consolidated Short Interest Report

Date 10/03/2020

NYSE today reported short interest as of the close of business on the settlement date of February 28, 2020.
IIROC To Form Expert Investor Issues Panel For Valuable Input On Consumer Issues - Panel To Complement Other Ways IIROC Engages Investors Directly

Date 10/03/2020

The Investment Industry Regulatory Organization of Canada (IIROC) today announced plans to establish an Expert Investor Issues Panel (EIIP) and that it will seek input in a notice for comments that will be published later this year.
British Columbia Securities Commission: Landmark Changes To The Securities Act Set To Take Effect

Date 10/03/2020

The British Columbia Securities Commission (BCSC) will soon have some of the strongest powers in the country to protect investors as the provincial government’s landmark changes to the Securities Act (the Act) are set to take effect on March 27.
Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date February 28, 2020

Date 10/03/2020

At the end of the settlement date of February 28, 2020, short interest in 2,425 Nasdaq Global MarketSM securities totaled 8,070,355,122 shares compared with 8,038,824,084 shares in 2,425 Global Market issues reported for the prior settlement date of February 14, 2020. The end-of-January short interest represents 4.06 days average daily Nasdaq Global Market share volume for the reporting period, compared with 3.99 days for the prior reporting period.