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Shenzhen Stock Exchange Market Bulletin, September 1, 2023, Issue 29

Date 07/09/2023

Click here to download Shenzhen Stock Exchange's market bulletin, issue 29.

FINRA Announces Results Of Governor Elections - Firms Elect Scott A. Curtis As A Large-Firm Governor, Re-Elect Wendy Lanton As A Small-Firm Governor

Date 06/09/2023

FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’ Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herold & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.

SIFMA Statement On Consolidated Audit Trail Funding Model

Date 06/09/2023

 SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., president and CEO of SIFMA, on the Securities and Exchange Commission (SEC) approval of the self-regulatory organizations (SROs) proposed amendment to the National Market System Plan Governing the Consolidated Audit Trail (CAT NMS Plan) to adopt a revised funding model, known as the Executed Share Model, for the CAT:

Cboe Global Markets Reports Trading Volume For August 2023

Date 06/09/2023

Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, today reported August monthly trading volume statistics across its global business lines.

NYSE President And ICE Fixed Income & Data Services Chair Lynn Martin To Present At The UBS Fintech Leaders Conference On September 14

Date 06/09/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Lynn Martin, NYSE President and Fixed Income & Data Services Chair, will present at the UBS Fintech Leaders Conference. The presentation will take place on Thursday, September 14 at 10:00 a.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.

SEC Charges Fluor Corp. For Accounting Improprieties - Five Former And Current Employees Charged With Causing Company’s Violations

Date 06/09/2023

The Securities and Exchange Commission today announced that Irving, Texas-based Fluor Corporation will pay $14.5 million to settle charges stemming from the company’s improper accounting on two large-scale, fixed-price construction projects. Five former and current officers and employees also agreed to settle related charges for causing Fluor’s violations.

CFTC Commissioner Goldsmith Romero To Provide Opening Remarks At The North American Securities Administrators Association’s 2023 Fall Annual Meeting

Date 06/09/2023

CFTC Commissioner Goldsmith Romero To Speak At The Federal Reserve Board Of Philadelphia’s Fintech Conference

Date 06/09/2023

Statement On Order Approving CAT Revised Funding Model, SEC Commissioner Jaime Lizárraga, Sept. 6, 2023

Date 06/09/2023

Over ten years ago, the Commission adopted Rule 613 requiring the creation of a consolidated audit trail, or CAT.

Who’s Paying?: Statement On The CAT’s Funding Model, SEC Commissioner Hester M. Peirce, Sept. 6, 2023

Date 06/09/2023

Thank you, Mr. Chair. The CAT has been expensive, far more costly than anyone imagined it would be. CAT’s considerable costs need to be allocated and no allocation method is ideal. And regardless of which approach we choose, most costs ultimately will come out of investor pockets. My primary reason for not supporting today’s order adopting a funding model is that we fail to grapple with the need to establish a realistic constraint on CAT costs—costs that come in the form of dollars, time, and lost financial privacy. Investors, the people with the most to lose, have had and will continue to have a limited voice in shaping the CAT’s operations, reach, and costs.