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MIAX Options - SPIKES Strategy Order Cut-Off Time

Date 14/03/2019

MIAX Options will conduct a SPIKES Special Settlement Auction on Tuesday, March 19, 2019, to determine the final settlement price of expiring SPIKES Index option contracts.
Federal Reserve Announces Seventh Triennial Study To Examine U.S. Payments Usage

Date 14/03/2019

Beginning this month, financial institutions and payments organizations will receive invitations to participate in the seventh triennial Federal Reserve Payments Study, the Federal Reserve announced today. Based on survey data provided by participants, past reports from the studies have documented substantial change in the aggregate volume and composition of noncash payments in the United States since 2000. Recent reports have also revealed dynamic changes in aggregate payments fraud, automated teller machine withdrawals, and payment authentication methods, among other topics.
U.S. Consolidated Audit Trail Clock Synchronization Notice

Date 14/03/2019

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year. A reminder notification can also be found on the CAT NMS Plan website via this link. The national securities exchanges and Financial Industry Regulatory Authority, Inc. (“FINRA”) previously issued a Consolidated Audit Trail (“CAT”) notice regarding clock synchronization, including information on the Business Clock synchronization requirement, synchronization procedures, violation reporting, and annual certifications which is available via this link. A clock synchronization certification form is available via this link.
SIFMA Submits Written Statement On The SEC’s Regulation Best Interest To House Financial Services Subcommittee On Investor Protection, Entrepreneurship And Capital Markets

Date 14/03/2019

SIFMA submitted a written statement today to the House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets in conjunction with a hearing entitled ‘Putting Investors First? Examining the SEC’s Best Interest Rule.’
Jason J. Burt Named Associate Regional Director For Enforcement In SEC's Denver Office

Date 14/03/2019

The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement in the SEC's Denver Regional Office. Mr. Burt succeeds Kurt Gottschall, who became Regional Director of the SEC's Denver office in November 2018.

State Street Quarterly Brexometer Index Reveals Latest Investor Sentiment Towards Brexit

Date 14/03/2019

State Street Corporation (NYSE: STT) today announced the latest findings from its Brexometer Index, a quarterly pulse survey of institutional investor sentiment on the economic impact of Brexit.
CPMI-IOSCO: Jurisdictions Move Forward Towards Implementing Standards For Payment, Clearing And Settlement

Date 14/03/2019

According to a recent update to the Level 1 information made available by the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO), jurisdictions are making progress on implementing international standards for payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories.
EBA Notes Good Progress In Convergence Of Supervisory Practices Across The EU

Date 14/03/2019

The European Banking Authority (EBA) published today its annual Report on the convergence of supervisory practices in the EU. The EBA's work in supervisory convergence aims at fostering comparable supervisory approaches across the single market. This is necessary to ensure a level playing field, effective supervision of cross border groups, and to promote supervisory best practices.
ESMA Includes MIFID II/ MIFIR In Its Interactive Single Rulebook

Date 14/03/2019

The European Securities and Markets Authority (ESMA) has updated today its Interactive Single Rulebook, an online tool allowing a comprehensive overview of and an easy access to all level 2 and level 3 measures adopted in relation to a given level 1 text.
Hong Kong’s Securities And Futures Commission Reprimands And Fines Morgan Stanley Asia Limited $224 Million For Sponsor Failures

Date 14/03/2019

The Securities and Futures Commission (SFC) has reprimanded and fined Morgan Stanley Asia Limited (Morgan Stanley) for failing to discharge its obligations as one of the joint sponsors in relation to the listing application of Tianhe Chemicals Group Limited (Tianhe) in 2014.