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NZX Shareholder Metrics November 2019

Date 03/12/2019

Please see attached NZX shareholder metrics for November 2019.

CFTC To Hold An Open Commission Meeting On December 10

Date 03/12/2019

U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Tuesday, December 10, 2019, at 9:00 a.m. EST at its headquarters in Washington, DC to consider the following:

• Proposed Rule: Capital Requirements for Swap Dealers and Major Swap Participants – Reopening the Comment Period and Requesting  Additional Comment
• Proposed Rule: Amendments to the Swap Clearing Requirement Exemption for Inter-Affiliate Swaps
• Proposed Rule: Settlements in Administrative and Civil Proceedings
• Final Rule: Amendments to Part 13 of the Commission’s Regulations (Public Rulemaking Procedures)

SEC Names Paul Munter As Deputy Chief Accountant

Date 03/12/2019

The Securities and Exchange Commission today announced the appointment of Paul Munter as a Deputy Chief Accountant (International) in the agency's Office of the Chief Accountant.

Supervision And Regulation Report - Federal Reserve Vice Chair For Supervision Randal K. Quarles, Before The Committee On Financial Services, U.S. House Of Representatives, Washington, D.C.

Date 03/12/2019

Chairwoman Waters, Ranking Member McHenry, members of the committee, thank you for the opportunity to appear today, alongside my colleagues from the regulatory community. We join you on the cusp of a significant and shared milestone: the full and faithful implementation of Congress's efforts to improve financial regulation, in the form of the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA). Today, I will briefly review the steps we have taken toward this milestone; share information on the state of the banking system, from the report that accompanies my testimony; and discuss the continuing need to ensure our regulatory framework is both coherent and effective.

SEC Names John Vanosdall As Deputy Chief Accountant

Date 03/12/2019

The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the agency's Office of the Chief Accountant.

New York State Department Of Financial Services Grants Virtual Currency And Money Transmitter Licenses To SoFi Digital Assets, LLC

Date 03/12/2019

Financial Services Superintendent Linda A. Lacewell today announced that the New York State Department of Financial Services (DFS) has approved the application of SoFi Digital Assets, LLC, a wholly owned subsidiary of Social Finance, Inc., for virtual currency and money transmitter licenses.

CFTC Commitments Of Traders Reports Update

Date 03/12/2019

The Commitments of Traders Release Schedule for the year 2020 is now available.

Keynote Address — 2019 ICI Securities Law Developments Conference, Dalia Blass, Director, SEC Division Of Investment Management, Washington D.C., Dec. 3, 2019

Date 03/12/2019

Introduction

Good Morning. Thank you Susan [Olson], and thank you all for the opportunity to come back and update you on the Division’s work.

I recently came across a September Compliance Minute Podcast, titled: Where Have you Gone, Dalia Blass? In the podcast, Mr. Todd Cipperman wanted an update on initiatives that I had announced last March, including the exchange-traded funds (ETF) final rule and the proposed updates to the investment adviser advertising and solicitation rules. I enjoyed listening to the podcast because it reminded me of how much work we undertook and also how much we achieved.

Intercontinental Exchange Adds Fixed Income Capabilities To ICE ETF Hub

Date 03/12/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced it has added new functionality to ICE ETF Hub to support US-listed fixed income exchange traded funds (ETFs). Since launching last week, fixed income primary trades for 17 funds, including the iShares Core U.S. Aggregate Bond ETF (AGG) and the iShares iBoxx $ Investment Grade Corporate Bond ETF (LQD), have passed through the system.

Cboe Expands MSCI Index Product Suite With New Options Strategy Benchmarks On MSCI EAFE And MSCI Emerging Markets Indices

Date 03/12/2019

• Cboe's benchmark indices are designed to help investors gauge the performance of options-based investment strategies to highlight the use of options to help manage risk, reduce volatility and enhance yield
• The new Cboe-MSCI BuyWrite and PutWrite indices are created for investors looking to replicate the same strategy on global equities