News Centre

FINRA Announces Senior Leadership Team Under New Examination And Risk Monitoring Program Structure - 2020 Exams Will Be Conducted Under Unified Program

Date 12/12/2019

FINRA announced today the senior leadership team under the new examination and risk monitoring structure within the organization. This marks the consolidation of FINRA’s three exam functions into a single, unified program—a process that began in October 2018.

IIROC Welcomes The Canadian Securities Administrators' Plans To Review Canada's Regulatory Framework For Investment Industry Self-Regulatory Organizations (SROs)

Date 12/12/2019

We look forward to participating in the CSA's consultation and in exploring options that make sense in today's environment.

While self-regulation is an efficient and effective means to protect investors and support healthy capital markets, we must always strive to improve its efficiency and effectiveness.

CUSIP Request Volume For Corporate And Municipal Debt Ebbs In November - 16% Monthly Decline In Muni Requests Puts Crimp In Robust 2019 Issuance

Date 12/12/2019

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for November 2019. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found monthly decreases in CUSIP request volumes for corporate and municipal debt and a slight increase in requests for corporate debt identifiers in November.

Canadian Securities Regulators Announce Review Of Framework For Self-Regulatory Organizations

Date 12/12/2019

The Canadian Securities Administrators (CSA) today announced that it will undertake a review of the regulatory framework for the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA).  

Trades Completed In The First US Regulated Bitcoin Options On ICE Futures U.S.

Date 12/12/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced the first block trade of BakktTM Bitcoin (USD) Monthly Options (BTM) submitted to ICE Futures U.S.

Resolution Of Uncertainty - Comments By Riccardo Rebonato, Professor of Finance, EDHEC-Risk Institute, EDHEC Business School - On Yesterday FED's Meeting

Date 12/12/2019

Riccardo Rebonato, Professor of Finance, EDHEC-Risk Institute, EDHEC Business School is specialist in interest rate risk modelling with applications to bond portfolio management and fixed-income derivatives pricing. He comments on yesterday FED's meeting.

Federal Reserve Board Announces Termination Of Enforcement Actions With JPMorgan Chase & Co., Spirit BankCorp, Inc., U.S. Bancorp, And USB Americas Holdings Company

Date 12/12/2019

The Federal Reserve Board on Thursday announced the termination of the enforcement actions listed below:

JPMorgan Chase & Co., New York, New York
Cease and Desist Order, dated January 14, 2013
Terminated December 5, 2019

Spirit BankCorp, Inc., Bristow, Oklahoma
Written Agreement, dated August 2, 2012
Terminated December 5, 2019

U.S. Bancorp, Minneapolis, Minnesota and USB Americas Holdings Company, Minneapolis, Minnesota
Cease and Desist Order, dated February 14, 2018
Terminated December 5, 2019

Moscow Exchange: Risk Parameters Change For The Security RU000A0ZYAR5

Date 12/12/2019

As per the Securities market risk parameters methodology, on 12.12.2019, 18-10 (MSK) the upper bound of the price band and initial margins (up to 8.75 %) for the security RU000A0ZYAR5 were changed. 

New FINRA Foundation Research: Two-Thirds Of U.S. Investors Fail Investing Quiz And Face Confusion About Investment Account Fees - Number Of Women With Non-Retirement Investments Remains Stagnant, While Ownership Among Men, Millennials And African-Americans Increases

Date 12/12/2019

Knowledge of key investing concepts among investors is low, with two-thirds of U.S. adults who own taxable investment accounts failing to correctly answer more than half of the questions contained on a 10-question quiz of investor knowledge, according to new research released today by the FINRA Investor Education Foundation (FINRA Foundation).

Moscow Exchange: Risk Parameters Change For The Security SNGS

Date 12/12/2019