News Centre

Office Of The Comptroller Of The Currency Assesses $60 Million Civil Money Penalty Against Morgan Stanley

Date 08/10/2020

The Office of the Comptroller of the Currency (OCC) today assessed a $60 million civil money penalty against Morgan Stanley Bank, N.A., and Morgan Stanley Private Bank, N.A. ("the banks")

Fiserv To Release Third Quarter Earnings Results On October 27, 2020

Date 08/10/2020

Fiserv, Inc. (NASDAQ: FISV), a leading global provider of payments and financial services technology solutions, will announce its third quarter financial results after the close of regular market trading on Tuesday, October 27, 2020.

Joint Statement Regarding New FAQs For Form CRS [1], SEC Chairman Jay Clayton, Dalia Blass, Director, Division of Investment Management, Brett Redfearn, Director, Division of Trading and Markets, Oct. 8, 2020

Date 08/10/2020

Form CRS is a brief relationship summary designed to help retail investors make informed choices regarding what type of relationship —  brokerage, investment advisory or a combination of both — best suits his or her particular needs and circumstances. Both broker-dealers and investment advisers (each, a “firm”) must provide to retail investors a relationship summary containing plain English disclosures on the same topics under standardized headings and in a prescribed order.  The relationship summary promotes transparency, comparability and better-informed decision making, through clear, concise disclosures, and by summarizing in one place selected information about a particular firm.  This format allows retail investors to more easily compare different firms’ services, fees, and other important information.

Nasdaq September 2020 Volumes, 3Q20 Estimated Revenue Capture, Listings And Index Statistics

Date 08/10/2020

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for September 2020, as well as quarterly volumes, estimated revenue capture, number of listings and index statistics for the quarter ending September 30, 2020 on its investor relations website.

Remarks At SEC Speaks 2020, SEC Commissioner Elad L. Roisman, Washington D.C., Oct. 8, 2020

Date 08/10/2020

INTRODUCTION

Good Morning.  Thank you for the kind introduction and the opportunity to be with you, virtually, this year at SEC Speaks.  It is my sincere hope that we will be able to meet in person soon.  Expressing my personal wishes always reminds me that I should issue the standard disclaimer that the views I share are my own and do not necessarily reflect those of the Securities and Exchange Commission, my fellow Commissioners, or members of the staff.

CFTC Commissioner Behnam To Discuss Financing A Resilient Future At The UN Environment Programme Finance Initiative (UNEP FI) Global Roundtable

Date 08/10/2020

U.S. Attorney General William P. Barr Announces Publication Of Cryptocurrency Enforcement Framework

Date 08/10/2020

Attorney General William P. Barr announced today the release of “Cryptocurrency: An Enforcement Framework,” a publication produced by the Attorney General’s Cyber-Digital Task Force.  The Framework provides a comprehensive overview of the emerging threats and enforcement challenges associated with the increasing prevalence and use of cryptocurrency; details the important relationships that the Department of Justice has built with regulatory and enforcement partners both within the United States government and around the world; and outlines the Department’s response strategies. 

TMX Group Limited Announces Release Date For Q3 2020 Financial Results And Analyst Conference Call

Date 08/10/2020

TMX Group Limited will announce its financial results for the third quarter ended September 30, 2020 in the evening of Wednesday, November 4, 2020. An analyst conference call to review the results will be held on Thursday, November 5, 2020 at 8:00 a.m. ET.

MGEX Enters The Top-20 Record Book

Date 08/10/2020

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports that yesterday, October 7th was the 17th best day in the history of the exchange with a total volume of 24,994 contracts. This record ties the current record holder, June 27th 2017.

An Update On FY 2020 Results – Remarks At SEC Speaks, SEC Chairman Jay Clayton, Washington D.C., Oct. 8, 2020

Date 08/10/2020

Introduction

Thank you, Stephanie [Avakian], for that kind introduction.  I am pleased that this annual event can continue in our new virtual environment.  Thank you all for taking the time to participate today and for your continued interest in the work of the Commission.  As always, these views are my own and do not necessarily reflect the views of the Commission, my fellow Commissioners, or the SEC staff.