News Centre

Dubai Financial Market Achieves 96% Compliance In Preliminary Annual Results Disclosure Of UAE Companies

Date 16/02/2020

Dubai Financial Market (DFM) today announced that its UAE listed companies have showed a 96% compliance to disclose their preliminary results for the financial year 2019 within the deadline of 45 days from the end of the year in line with the regulations of the Securities and Commodities Authority (SCA).

Statement Of SEC Commissioner Robert J. Jackson, Jr. On His Tenure As An SEC Commissioner

Date 14/02/2020

Today is my last day as a Commissioner of the U.S. Securities and Exchange Commission. Serving on the Commission has been the privilege of my lifetime. I will always be proud to have served alongside Chairman Clayton, Commissioners Lee, Peirce, Piwowar, Roisman, and Stein, and especially the Commission’s incredible Staff.

MIAX PEARL Equities - Exchange Codes And Important Dates Regarding The Launch Of The New Equities Exchange, MIAX PEARL In September 2020

Date 14/02/2020

The MIAX will launch a new Equities Exchange.  MIAX PEARL Equities (EPRL) will begin trading in September 2020, pending SEC approval. 

SEC Proposes To Modernize Key Market Infrastructure Responsible For Collecting, Consolidating, And Disseminating Securities Market Data - Seeks To Introduce Competitive Forces To Core Components Of The System For The First Time

Date 14/02/2020

The Securities and Exchange Commission today proposed to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system (NMS) stocks. The proposal would update and expand the content of NMS market data to better meet the diverse needs of investors in today’s equity markets. The Commission has not significantly updated the rules that govern the content and dissemination of NMS market data since their initial implementation in the late 1970s. The proposal would also seek to introduce competitive forces into this core component of the national market system for the first time. The introduction of and competition among these new data consolidators could, in turn, allow all market participants, including investors, to access and benefit from the expanded content of NMS market data.

Remarks Of CFTC Commissioner Rostin Behnam At The 56th Crop Insurance And Reinsurance Bureau Annual Meeting, Bonita Springs, Florida - Changing Weather Patterns: Risk Management For Certain Uncertain Change

Date 14/02/2020

Introduction

Good morning.  I would like to thank the Crop Insurance & Reinsurance Bureau for the invitation to be here with you in Florida to discuss some issues and initiatives I am working on related to the impact of climate change on financial markets and the challenges we are collectively facing.  I will begin with a brief overview of the Commodity Futures Trading Commission (the “CFTC” or “Commission”), then I will provide a little personal history of how I developed an interest in the impact of weather and climate change on risk management, and finally I will discuss a current initiative I am spearheading at the Commission.  Before I begin, please allow me to remind you that the views I express today are my own and do not represent the views of the CFTC or my fellow Commissioners.

Statement On Proposed Updates To The National Market System For The Collection, Consolidation, And Dissemination Of Information With Respect To Quotations For And Transactions In National Market System Stock, SEC Commissioner Elad L. Roisman, Feb. 14, 2020

Date 14/02/2020

Today, I join my fellow Commissioners in voting to propose sweeping changes to the means by which market participants receive consolidated equity market data, and to the content of “core data” itself.  I appreciate the work of the SEC staff who contributed to this proposal, particularly those in the Divisions of Trading and Markets and Economic and Risk Analysis. 

CFTC Charges Unregistered Commodity Pool Operator And Its Principal With Fraud And Misappropriation

Date 14/02/2020

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Eastern District of Missouri against Joshua Christian McDonald and his company, Perfection PR Firm LLC (PPR), which operated out of California and Tennessee. The complaint charges McDonald and PPR with fraud and misappropriation related to an off-exchange foreign currency (forex) trading scheme in which they solicited funds totaling at least $440,000 from at least 12 investors, including multiple residents of Missouri.

Statement On Proposed Rule On Market Data Infrastructure, SEC Commissioner Allison Herren Lee, Feb. 14, 2020

Date 14/02/2020

I am pleased to support today’s proposed rule which represents an important step by the Commission in its ongoing efforts to ensure that the public has timely access to essential trading information.  I’m grateful to the staff, Director Redfearn, and Chairman Clayton for their commitment to this effort. 

CFTC Charges Colorado Resident With Fraud In Digital Asset-Linked Ponzi Scheme

Date 14/02/2020

The Commodity Futures Trading Commission today announced the filing of a civil enforcement action in the U.S. District Court for the District of Colorado against Breonna Clark, of Denver, Colorado, and Venture Capital Investments Ltd., a Colorado limited liability company, charging them with fraud and failing to register with the CFTC.

IIROC District Councils - Call For Nomination

Date 14/02/2020

The Nomination Subcommittee of each IIROC District Council in Canada invites Dealer Members to nominate candidates for election to the District Council in each province where the Dealer has offices.