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  • Statement On FINRA’s Corporate Bond New Issue Reference Data Proposal, SEC Acting Chairman Elad L. Roisman, Jan. 15, 2021

    Date 15/01/2021

    A foundational aspect of a fair, orderly, and efficient market is that all market participants have access to the basic reference data necessary to identify, value, and trade available securities and settle effectuated transactions. In many securities markets, the ability to obtain reference data is taken for granted. But, in the corporate bond market, where thousands of new issues come to market each year, many market participants do not have access to such information at the time a new issue begins secondary trading. Market participants that lack access to this data are hindered from timely participation, not only placing them at a competitive disadvantage but also adversely impacting liquidity in the particular bond issue on the first day the bond trades. Clearly, there is a need for basic reference data on new corporate bond issues to be impartially available to all market participants in a timely manner.

  • New York State Department Of Financial Services Superintendent Linda A. Lacewell's Op-Ed In LAW360: 6 Ways Financial Regulators Should Prioritize Climate Risk

    Date 15/01/2021

    As the Biden administration prepares to take office, financial regulators have a renewed opportunity to work with each other and the industry to manage the financial risks from climate change after years of obstruction by the Trump administration.

  • Concurrence in the Matter of Wireline, Inc., SEC Commissioner Hester M. Peirce, Jan. 15, 2021

    Date 15/01/2021

    I support most of the Commission’s settled enforcement action against Wireline, Inc., but write to highlight a concern about the settlement. Wireline offered and sold digital assets using a Simple Agreement for Future Tokens (“SAFT”), pursuant to which purchasers invested money in exchange for the receipt of the tokens to be issued when the Wireline microservices platform went live in the future. These tokens, which never were issued because the platform is not yet operational, were to be the platform’s currency. The SAFTs were explicitly sold as part of a securities transaction. Wireline did not, however, register the offers and sales or qualify for an exemption from registration. Moreover, in the course of selling these investment contracts, Wireline materially misrepresented key facts about the state of the platform’s development. These violations form the basis for the enforcement action, which I support. However, by including a provision whereby Wireline will not distribute the tokens pursuant to the SAFTs, this settlement perpetuates an approach that suggests that tokens themselves are securities and thus complicates the development of crypto networks.

  • CFTC Commitments Of Traders Update

    Date 15/01/2021

    The current reports for the week of January 12, 2021 are now available.

  • SEC: Fee Rate Advisory #2 For Fiscal Year 2021

    Date 15/01/2021

    The Securities and Exchange Commission today announced that starting on February 25, 2021, the fee rates applicable to most securities transactions will be set at $5.10 per million dollars. 

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