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  • SIFMA Statement On Revisions To The Volcker Rule

    Date 20/08/2019

    SIFMA issued the following statement from President and CEO Kenneth E. Bentsen, Jr., on revisions to the Volcker Rule announced today:

    “SIFMA supports the Agencies’ goal of reducing compliance-related inefficiencies of the Volcker Rule.  The revisions approved today will help ensure the Rule does not negatively and unnecessarily impact market liquidity, capital formation and economic growth, which could be exacerbated during times of stress.  The removal of the accounting prong is a positive step forward in ensuring the regulatory definition of ‘trading account’ does not go beyond the statutory definition and Congressional intent.

  • SEC Charges ICO Research And Rating Provider With Failing To Disclose It Was Paid To Tout Digital Assets

    Date 20/08/2019

    The Securities and Exchange Commission announced today that Russian entity ICO Rating has agreed to pay $268,998 to settle charges that it failed to disclose payments received from issuers for publicizing their digital asset securities offerings.  

  • MIAX Options Exchange - Complex Auction Allocation Priority Change - Effective August 21, 2019

    Date 20/08/2019

    Effective Wednesday, August 21, 2019, MIAX Options Exchange will use the less aggressive of the Complex Order’s original limit price or the Complex Order’s protected price at the conclusion of Complex Auctions and upon evaluation after ABBO uncrossings during regular trading to determine allocation priority.

  • Recent Strides In OCC's Transformation: By Craig Donohue, Executive Chairman, John Davidson, Occ Chief Executive Officer, Scot Warren, Chief Operating Officer, August 20, 2019

    Date 20/08/2019

    There have been significant transformation efforts undertaken at OCC by our colleagues during the last several years. OCC's transformation is a broad, multi-year undertaking covering every aspect of our organization: our financial resiliency, our people, our processes, and our technology. While our colleagues have overcome many challenges and accomplished a great deal, we still have more to do. We would like to share their progress with you.

  • SEC Charges TherapeuticsMD With Regulation FD Violations

    Date 20/08/2019

    The Securities and Exchange Commission today charged TherapeuticsMD Inc., a pharmaceutical company headquartered in Boca Raton, Florida, with violations of Regulation FD based on its sharing of material, nonpublic information with sell-side research analysts without also disclosing the same information to the public.