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SEC Staff Statement On The Proposed Expert Market, Division Of Trading And Markets Staff

Date 02/08/2021

On December 22, 2020, the Commission issued notice of and requested comment on a proposed exemptive order that, if adopted, would grant a conditional exemption from Rule 15c2-11 for certain publications of broker-dealer quotations on an expert market operated by OTC Link LLC.
MIAX Exchange Group - Options Exchanges - Updated August 1, 2021 Fee Changes

Date 02/08/2021

As previously announced in the July 26th Alert, effective August 1, 2021, the MIAX Options, MIAX Pearl Options and MIAX Emerald Options Exchanges Fee Schedules were amended.
SEC: Joint Statement On The Departure Of Pete Driscoll - Chair Gary Gensler, Commissioner Hester M. Peirce, Commissioner Elad L. Roisman, Commissioner Allison Herren Lee, Commission Caroline A. Crenshaw

Date 02/08/2021

As he departs the agency, we would like to thank Pete Driscoll for his more than two decades of service to the SEC and his leadership of the Division of Examinations. Pete has always demonstrated a remarkable commitment to protecting America’s investors, ensuring the examination program is strong and effective, and supporting his colleagues throughout the agency. We particularly commend him for guiding the examination program through the challenges of the pandemic and for shepherding its transition from the Office of Compliance Inspections and Examinations to the Division of Examinations. We have benefitted from his many years of experience, his steady leadership, and his dedication to advancing the agency’s mission on behalf of investors.
US Secretary Of The Treasury Janet L. Yellen Sends Letter To Congressional Leadership On The Debt Limit

Date 02/08/2021

Today, U.S. Secretary of the Treasury Janet L. Yellen sent a letter to Congressional leadership regarding the debt limit.
Statement In Connection With The SEC’s Whistleblower Program, SEC Chair Gary Gensler, Aug. 2, 2021

Date 02/08/2021

In September 2020, the Commission adopted amendments to the SEC’s whistleblower program rules. Various members of the whistleblower community, as well as Commissioners Lee and Crenshaw, have expressed concern that two of these amendments could discourage whistleblowers from coming forward. One of these amendments would preclude the Commission in some instances from making an award in related enforcement actions brought by other law-enforcement and regulatory authorities if a second, alternative whistleblower award program might also apply to the action. The second amendment could be used by a future Commission to lower an award because of the size of the award in absolute terms.

US Treasury Announces Marketable Borrowing Estimates

Date 02/08/2021

The U.S. Department of the Treasury today announced its current estimates of privately-held net marketable borrowing for the July – September 2021 and October – December 2021 quarters.
MGEX Reports A Top-10 Month

Date 02/08/2021

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), welcomes July 2021 as the 7th best overall month for MGEX with a total exchange volume of 297,235 contracts. This past month was also the 2nd best July in the record book.
U.S. Department Of The Treasury: Economy Statement By Catherine Wolfram, Acting Assistant Secretary For Economy Policy, For The Treasury Borrowing Advisory Committee

Date 02/08/2021

In mid-July, the National Bureau of Economic Research’s Business Cycle Dating Committee announced that the recession that started in March 2020 ended by April 2020, making it the shortest recession on record. The economic expansion which has followed is currently in its sixteenth month.
US Department Of Justice: Former Chief Financial Officer Of Publicly Traded Company Convicted Of Securities And Accounting Fraud

Date 02/08/2021

A federal jury in the Eastern District of Wisconsin on Thursday convicted the former chief financial officer of Roadrunner Transportation Systems Inc. (Roadrunner), a publicly traded trucking and logistics company formerly headquartered in Cudahy, Wisconsin, on four counts of violating federal securities laws for his role in a complex securities and accounting fraud scheme.
ISDA, ICMA And ISLA Sign MoU On The Common Domain Model

Date 02/08/2021

The International Swaps and Derivatives Association, Inc. (ISDA), the International Capital Market Association (ICMA) and the International Securities Lending Association (ISLA) have signed a memorandum of understanding (MoU) to strengthen collaboration on the future development of the Common Domain Model (CDM), which establishes a single, common digital representation of trade events and actions across the lifecycle of financial products. This cross-industry initiative marks an important step in the Associations’ commitment to define and promote the development of a digital future for financial markets, as set out in a joint letter a year ago.