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Strengthening Our Partnership with States and Other Jurisdictions to Protect Investors and Promote Market Integrity, SEC Commissioner Jaime Lizárraga, NASAA 2023 Public Policy Symposium Keynote Remarks, April 18, 2023

Date 18/04/2023

Thank you, NASAA President Hartnett, for that kind introduction.

BOX Options Market: Dividend Strategy QOO Order Monthly Fee Cap

Date 18/04/2023

BOX Options Market LLC (“BOX”) is establishing a monthly dividend strategy Qualified Open Outcry (“QOO”) Order fee cap.

SIFMA Statement On The SEC’s Regulatory Agenda

Date 18/04/2023

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on its concerns with the Securities and Exchange Commission’s (SEC) regulatory agenda:

ISDA - The Swap - Episode 30: Balancing Energy Security And Transition

Date 18/04/2023

The invasion of Ukraine and subsequent rise in energy costs have brought the issue of energy security to the fore. How are policymakers responding, and what impact will this have on the transition to a green economy? ISDA talks to BP’s Niamh Staunton.

SEC Charges Investment Adviser Betterment For Misstatements Concerning Tax Loss Harvesting Service

Date 18/04/2023

The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to contracts, and failing to maintain certain required books and records. To settle the charges, Betterment agreed to pay a $9 million penalty and to distribute funds to affected clients.

Considerations For A Central Bank Digital Currency, Federal Reserve Governor Michelle W. Bowman, At The Georgetown University Mcdonough School Of Business Psaros Center For Financial Markets And Policy, Washington, DC

Date 18/04/2023

It is a pleasure to be with you today to discuss the evolving money and payments landscape in the United States, which is a topic of primary importance to the Federal Reserve. Technological innovation has changed this landscape in recent years, as we have seen the emergence of new financial services entrants offering payments services, new platforms designed to increase the speed of payments, clearing, and settlement, and new forms of digital money. Over the past several years, and as a direct result of these developments, we have seen a significant increase in attention on central bank digital currencies (CBDCs) from central banks around the world in addition to a great deal of international and domestic engagement on CBDC. A number of central banks have taken steps to begin exploring the potential uses of a CBDC in their home countries. A very small number have adopted a CBDC for their local jurisdictions. And of course, discussions of the purpose, design, and potential risks of a U.S. CBDC, and technical research about key design elements, continue here in the United States. While the Federal Reserve plays an important role in these ongoing discussions and technical research, the Fed would not implement a U.S. CBDC without the approval of Congress.

CFTC Commissioner Johnson To Deliver Keynote Address At The EuroFi 2023

Date 18/04/2023

CFTC Commissioner Johnson To Deliver Keynote Address At The Institute For Investor Protection Annual Conference At Loyola University Of Chicago School Of Law

Date 18/04/2023

Ontario Securities Commission Publishes Its 2023-2024 Statement Of Priorities

Date 18/04/2023

The Ontario Securities Commission (OSC) today published its 2023-2024 Statement of Priorities (SOP), which sets out the four strategic goals the OSC intends to focus on this fiscal year. The final SOP is included in the OSC’s Business Plan for fiscal years ending 2024-2026, also published today.

CFTC Appoints Jeffrey Sutton As Executive Director

Date 18/04/2023

The Commodity Futures Trading Commission today announced the appointment of Jeffrey Sutton as the CFTC’s Executive Director. Mr. Sutton joined the CFTC on April 10.