News Centre

TMX Group Limited Reports Results For Third Quarter Of 2023

Date 30/10/2023

TMX Group Limited [TSX:X] ("TMX Group") today announced results for the third quarter ended September 30, 2023.

SEC Charges SolarWinds And Chief Information Security Officer With Fraud, Internal Control Failures - Complaint Alleges Software Company Misled Investors About Its Cybersecurity Practices And Known Risks

Date 30/10/2023

The Securities and Exchange Commission today announced charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. Brown, for fraud and internal control failures relating to allegedly known cybersecurity risks and vulnerabilities. The complaint alleges that, from at least its October 2018 initial public offering through at least its December 2020 announcement that it was the target of a massive, nearly two-year long cyberattack, dubbed “SUNBURST,” SolarWinds and Brown defrauded investors by overstating SolarWinds' cybersecurity practices and understating or failing to disclose known risks. In its filings with the SEC during this period, SolarWinds allegedly misled investors by disclosing only generic and hypothetical risks at a time when the company and Brown knew of specific deficiencies in SolarWinds’ cybersecurity practices as well as the increasingly elevated risks the company faced at the same time.

Nasdaq Chair & CEO Adena Friedman To Present At The J.P. Morgan Ultimate Services Investor Conference

Date 30/10/2023

Nasdaq (Nasdaq: NDAQ) will be presenting at the following conference with a webcast available at Nasdaq’s Investor Relations website: ir.nasdaq.com/events.cfm.

Quantum Computing Has Potential To Reshape Securities Industry, New FINRA Report Says - Report Brings Attention To Opportunities And Risks Presented By The Technology

Date 30/10/2023

FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While practical quantum computing remains nascent, the research examines how the emerging technology that relies on quantum mechanics to perform complex calculations could significantly alter the securities industry in the future. The report also looks at potential cybersecurity threats and regulatory considerations regarding the technology.

Nadex Self-Certifies LTC Cryptocurrency Touch Bracket Contracts

Date 30/10/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new LTC Cryptocurrency Event Contracts. These contracts will be listed on or after trade date November 1, 2023.

SIFMA Statement On The SEC’s Exemptive Relief Order Related To Rule 15c2-11

Date 30/10/2023

SIFMA today issued the following statement from President and CEO Kenneth E. Bentsen, Jr. on the SEC’s order granting broker-dealers exemptive relief from Rule 15c2-11 for fixed-income securities:

Nadex Self-Certifies BCH Cryptocurrency Touch Bracket Contracts

Date 30/10/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new BCH Cryptocurrency Event Contracts. These contracts will be listed on or after trade date October 31, 2023.

CFTC Commissioner Pham To Speak At Columbia Business School

Date 30/10/2023

Canadian Roundtable On Audit Quality Addresses Current State And Emerging Risks

Date 30/10/2023

On October 26th, the Canadian Public Accountability Board (CPAB), the Office of the Superintendent of Financial Institutions (OSFI) and the Canadian Securities Administrators (CSA) co-hosted the Canadian Audit Quality Roundtable in Toronto.

Joint Statement: US - UK Financial Innovation Partnership Meeting

Date 30/10/2023

UK and U.S. participants in the U.S.-UK Financial Innovation Partnership (FIP) met in Washington D.C., on Thursday 7th September 2023.