News Centre

BOX Options Market Debit/Credit Check Protection Clarification

Date 16/08/2021

BOX Options Market LLC (“BOX”) recently filed a rule change to clarify the Debit/Credit Check Price Protection feature for Complex Orders.

Treasury International Capital Data For June

Date 16/08/2021

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for June 2021.  The next release, which will report on data for July 2021, is scheduled for September 16, 2021.

MIAX Options Exchange - Updates To The SPIKES Special Settlement Auction Settlement Reference Price Opening Width And SPIKES Valid And Priority Quote Width Tables

Date 16/08/2021

Due to sustained market volatility, MIAX Options will continue to use the Settlement Reference Price Opening Width and Valid and Priority Quote Width tables detailed in MIAX Options Regulatory Circular 2021-04 for opening the SPY September 17, 2021 options used in the August 18, 2021 SPIKES Special Settlement Auction.

New FINRA Report: Diversity Of Cloud Computing Models Among Broker-Dealers Raises Opportunities And Challenges For The Securities Industry - FINRA Requests Comments On Report

Date 16/08/2021

A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and security within firms’ operations, while also highlighting the importance for firms to consider relevant regulatory factors for maintaining investor protection and market integrity, according to a new research report from FINRA.

FIA July 2021 SEF Tracker

Date 16/08/2021

U.S. Department Of The Treasury Announces Fossil Fuel Energy Guidance for Multilateral Development Banks

Date 16/08/2021

Today, the U.S. Department of the Treasury issued Fossil Fuel Energy Guidance for Multilateral Development Banks (MDBs), which is key Guidance in response to President Biden’s Executive Order 14008 on Tackling the Climate Crisis At Home and Abroad announced earlier this year. In its Guidance, Treasury advocates for MDB investments prioritizing clean energy, innovation, and energy efficiency, which will help achieve a clean and sustainable future consistent with the development goals of the Paris Agreement. U.S. Secretary of the Treasury Janet L. Yellen previewed Treasury’s MDB Guidance at the April 2021 G7 Leaders Summit on Climate and more recently discussed this with Heads of the MDBs in July 2021.  

SEC Charges Pearson Plc For Misleading Investors About Cyber Breach

Date 16/08/2021

The Securities and Exchange Commission today announced that Pearson plc, a London-based public company that provides educational publishing and other services to schools and universities, agreed to pay $1 million to settle charges that it misled investors about a 2018 cyber intrusion involving the theft of millions of student records, including dates of births and email addresses, and had inadequate disclosure controls and procedures.

Moscow Exchange: Risk Parameters Change For The Securities - Update

Date 16/08/2021

The following risk parameters will be changed:

SEC Charges Penny Stock Company, CEO And Others With Multi-Million Dollar Fraud

Date 16/08/2021

The Securities and Exchange Commission today announced it charged an issuer, its CEO, and six other entities and individuals with participating in a penny stock fraud scheme. The SEC also charged certain of the participants with operating as unregistered dealers, and obtained emergency relief to halt their ongoing conduct.

Moscow Exchange: Risk Parameters Change For The Securities

Date 16/08/2021

The following risk parameters will be changed: