News Centre

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.

SEC Halts Fraudulent Offering By Florida Investment Adviser

Date 10/03/2020

On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze and other emergency relief against Florida-based investment adviser Kinetic Investment Group LLC and its managing member, Michael Scott Williams, in connection with an alleged fraudulent, unregistered securities offering that raised approximately $39 million from at least 30 investors located mostly in Florida and Puerto Rico.

EBA Concludes That No Specific Regulatory LGD Should Be Set For Credit Insurance Claims

Date 10/03/2020

The European Banking Authority (EBA) published today an Opinion on the treatment of credit insurance in the prudential framework, in response to the extensive feedback received in its public consultations on draft Guidelines on credit risk mitigation for institutions applying the Internal Ratings-Based Approach (IRB Approach) with own estimates of Loss Given Default (LGD). In this Opinion the EBA calls for the implementation of the final Basel III framework as agreed by the Basel Committee on Banking Supervision.

CME Group Inc. Announces First-Quarter 2020 Earnings Release, Conference Call

Date 10/03/2020

CME Group Inc. will announce earnings for the first quarter of 2020 before the markets open on Wednesday, April 29, 2020. Written highlights for the quarter will be posted on the company's website at 6:00 a.m. Central Time, the same time it provides its earnings press release. The company will hold an investor conference call that day at 7:30 a.m. Central Time, at which time company executives will take analysts' questions. 

EBA Highlights The Importance Of Data And Information Preparedness To Perform A Valuation For Resolution

Date 10/03/2020

• Enhancing institutions’ preparedness in business as usual to swiftly provide data and information contributes to the achievement of resolution objectives and to the effectiveness of resolution actions.
• The EBA’s approach to institutions’ preparedness is balanced and proportionate.
• The EBA’s approach relies on the combination of institutions’ internal data aggregation capabilities and internal valuation models suitable for valuation for resolution.

Swiss Stock Exchange: Event Update

Date 10/03/2020

The Ideal Post-EU Regulatory Framework - Speech By Victoria Saporta, Bank Of England, Executive Director Of Prudential Policy Given At The International Business And Diplomatic Exchange 2020 Annual Conference, London

Date 10/03/2020

Vicky Saporta looks at how banks and other financial firms should be regulated now that the UK has left the EU. 

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®.

Moscow Exchange: Risk Parameters Update 13

Date 10/03/2020

Please follow the links below to access the information:

Risk parameters change for the security LKOH

Speech At The Council Of Institutional Investors’ (“CII”) Conference By SEC Commissioner Elad L. Roisman

Date 10/03/2020

I. Introduction

Thank you for inviting me to speak today, at CII’s Spring 2020 Conference.  Since I assumed office eighteen months ago, I believe I have had more meetings with CII and its members than any other group.  I have appreciated these candid exchanges of ideas, and they have influenced my thinking about many issues before the Commission.  I am happy to continue our dialogue.