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  • Updates To Electronic Recordkeeping, SEC Chair Gary Gensler, Nov. 18, 2021

    Date 18/11/2021

    This week, the Commission voted unanimously in support of a proposal to update the electronic recordkeeping requirements for intermediaries such as broker-dealers and certain security-based swap dealers. This proposal updates an electronic recordkeeping rule adopted in 1997. A lot has changed with respect to database management, among other technologies, in the last 24 years. This proposal would bring the Commission’s rule in line with technological innovation, and I am pleased to support it.

  • SEC Charges Promoter With Conducting Cryptocurrency Investment Scams

    Date 18/11/2021

    The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors.

  • Moscow Exchange: Risk Parameters Change For The Security BABA-RM

    Date 18/11/2021

    As per the Securities market risk parameters methodology, on 18.11.2021, 21-59 (MSK) the lower bound of the price band (up to 9663) and initial margins (up to 27 %) for the security BABA-RM were changed. New values are available here

  • ESMA Publishes Its Preliminary Report On The EU Carbon Market

    Date 18/11/2021

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published its Preliminary Report on the EU carbon market. The report responds to the request made by the European Commission (EC) to ESMA in its Communication on energy prices for a preliminary analysis of European emission allowances (EUAs) and derivatives on EUAs.


  • CFTC Staff Extends Existing Temporary No Action Relief Related To Brexit

    Date 18/11/2021

    The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) and Market Participants Division (MPD) announced today that they are extending previously granted temporary no-action relief in connection with the withdrawal of the United Kingdom (UK) from the European Union (EU), known as Brexit.