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Big Win For Whistleblowers At The SEC - Commission Approves Rule Changes To Enhance Dodd-Frank Whistleblower Program

Date 26/08/2022

Today the U.S. Securities and Exchange Commission (SEC) adopted two amendments to the rules of its highly successful whistleblower program. The amendments, which were widely supported by whistleblower advocates, allow the agency to better award whistleblowers who voluntarily provide the agency with original information that leads to successful enforcement actions.
CFTC Commitments Of Traders Reports Update

Date 26/08/2022

The current reports for the week of August 23, 2022 are now available.
SEC Issues First Fee Rate Advisory For Fiscal Year 2023

Date 26/08/2022

The Securities and Exchange Commission announced that the fees that public companies and other issuers pay to register their securities with the Commission will increase from $92.70 per million dollars to $110.20 per million dollars, effective Oct. 1. The new fee rate will be applicable to the registration of securities under Section 6(b) of the Securities Act of 1933, the repurchase of securities under Section 13(e) of the Securities Exchange Act of 1934, and proxy solicitations and statements in corporate control transactions under Section 14(g) of the Securities Exchange Act of 1934.
Readout: US Deputy Secretary Of The Treasury Wally Adeyemo’s Travel To New Delhi

Date 26/08/2022

On August 26, Deputy Secretary Wally Adeyemo met with government officials in New Delhi, India, including Minister of Finance Nirmala Sitharaman, Principal Secretary to the Prime Minister PK Mishra, Ministry of Finance Secretary Ajay Seth, Ministry of External Affairs Secretary Vijay Kwatra, and Ministry of Petroleum and Natural Gas Secretary Pankaj Jain.
On The Consequences Of An Inconsequential Rulemaking: Statement Regarding Amendments To Whistleblower Program Rules, SEC Commissioner Hester M. Peirce, Aug. 26, 2022

Date 26/08/2022

I did not support the proposal to amend the Commission’s whistleblower rules, and cannot support the amendments adopted today. The Commission’s whistleblower program is successful, increasingly so in recent years. Today’s amendments, although themselves inconsequential and unlikely to inhibit that success, nonetheless carry harmful consequences both for the whistleblower program and for the Commission’s rulemaking processes.

CalPERS Special Retired Member Board Election Underway As Voting Begins - Ballots Mailed - Candidate Forum September 7

Date 26/08/2022

CalPERS retired members can expect a blue envelope that contains their ballot for the special board election in their mailboxes in the next few days.
SEC Amends Whistleblower Rules To Incentivize Whistleblower Tips

Date 26/08/2022

The Securities and Exchange Commission today adopted two amendments to the rules governing its whistleblower program. The first rule change allows the Commission to pay whistleblowers for their information and assistance in connection with non-SEC actions in additional circumstances. The second rule affirms the Commission’s authority to consider the dollar amount of a potential award for the limited purpose of increasing an award but not to lower an award.
Nadex Temporarily Amends Binary Contracts Strike Width

Date 26/08/2022

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) 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”) hereby provides notice that due to increased or decreased volatility, as the case may be, in the underlying markets upon which the Nadex contracts are based, Nadex made changes to the strike widths of various contracts during the week of August 22, 2022 as indicated in the Weekly Notice.
Statement On The Final Rules Related To The Whistleblower Program, SEC Commissioner Mark T. Uyeda, Aug. 26, 2022

Date 26/08/2022

The Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the federal securities laws to the Commission. Today, the Commission is adopting final rules amending the Whistleblower Program rules. Specifically, the final amendments (1) expand the scope of related actions eligible for an award under the Commission’s Whistleblower Program, and (2) amend the rules so that the Commission may use its statutory authority to consider the dollar amount to increase, but not decrease, the award. While I support the important work of the staff in the Office of the Whistleblower in their efforts to arrive at an appropriate result in evaluating claims, I am unable to support today’s amendments.
Nadex Refrains From Listing Certain Contracts

Date 26/08/2022

Due to activity in the underlying markets upon which the Nadex contracts are based and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex took the following actions: