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Bahamas International Securities Exchange Q2, 2022 Statistical Report

Date 30/09/2022

Trading volume for the six-month period 4 January, 2022, to 30 June 2022, was 5,401,518 shares for a value of $ 33,233,120. By comparison, trading volume for the six-month period 2 January 2021, to 30 June 2021, was 7,295,041 shares for a value of $36,538,928.35.
MIAX: Proposed Rule Change To Change References In The Codes Of Arbitration Procedure From The Neutral List Selection System To The List Selection Algorithm

Date 30/09/2022

FINRA is proposing to change references in the Codes of Arbitration Procedure (‘‘Codes’’) from the Neutral List Selection System to the list selection algorithm.
US Federal Agencies Announce Forthcoming Resolution Plan Guidance For Large Banks And Deliver Feedback On Resolution Plan Of Truist Financial Corporation

Date 30/09/2022

The Federal Deposit Insurance Corporation and the Federal Reserve Board on Friday jointly announced they anticipate issuing guidance to help certain large banks further develop their resolution plans.
Statement Of Commissioner Christy Goldsmith Romero Regarding Enforcement Action And Settlement With Swap Execution Facility BGC Derivative Markets, L.P. - Systemic Swap Reporting Violations Harm Market Transparency And Integrity

Date 30/09/2022

Swap reporting is fundamental to post-crisis financial regulation – a critical tool for promoting transparency and market integrity in swap markets that used to be opaque. It has been a decade since the Commodity Futures Trading Commission (“CFTC”) implemented Dodd-Frank Act requirements for swap reporting. However, in my six months of serving as a CFTC Commissioner, I have seen multiple enforcement cases involving swap reporting failures, which is troubling.
Fluency's CBDC Technology Meets All Key ECB Foundation Design Aspects For A Digital Euro

Date 30/09/2022

The European Central Bank released on 29th September 2022, their latest progress report on the investigation phase of their digital euro project and elaborates on foundational design features approved by the Governing Council.

CFTC Orders Swap Execution Facility To Pay $1.9 Million For Swap Reporting And Core Principle Violations

Date 30/09/2022

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against BGC Derivative Markets, L.P. (BGCD), a swap execution facility (SEF), for failing to report or accurately report thousands of swap transactions to the CFTC, a swap data repository (SDR), or the public; failing to timely correct reporting errors; and violating SEF Core Principles.
SEC Charges Eight In Scheme To Fraudulently Promote Securities Offerings

Date 30/09/2022

The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant to Regulation A, which, if certain conditions are met, provides an exemption to the Securities Act’s registration provisions. All but two of the parties have agreed to settle the SEC charges.
CFTC Commitments Of Traders Reports Update

Date 30/09/2022

The current reports for the week of September 27, 2022 are now available.
ISDA derivatiViews: Efficiency Through Reporting Best Practice

Date 30/09/2022

During the recent era of regulatory change, a lack of consistency in the way rules were drafted and implemented has been one of the biggest challenges for market participants and regulators. Nowhere is this more evident than in trade reporting requirements for over-the-counter (OTC) derivatives, which were put in place to enhance market transparency. The lack of consistency in what is reported means this objective has not been fully achieved – but with forthcoming rule changes and a new digital approach to reporting, real transparency is finally within reach.
Remarks At The Association Of Asian American Investment Managers Elevate 2022 Keynote Lunch Program, SEC Commissioner Mark T. Uyeda, New York, NY, Sept. 29, 2022

Date 30/09/2022

Good afternoon. Thank you for the invitation to address the Association of Asian American Investment Managers (AAAIM). Over the past year, I have appreciated getting to know the AAAIM team of Jim Park, Kit Canlas, and Alyssa Lee, and their efforts to carry out AAAIM’s mission. I also want to recognize Ginger Lew for her efforts, both as an AAAIM co-founder and as a dedicated public servant. And, finally, I would like to recognize Maeley Tom, another AAAIM co-founder, who – eighteen years ago – reached out to me, someone who was brand new to public service in state government in Sacramento, and whose career continues to inspire.