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CFTC Grants DCO Registration To Eris Clearing, LLC

Date 01/07/2019

The Commodity Futures Trading Commission (CFTC or Commission) announced today that the Commission voted unanimously to issue an order granting Eris Clearing, LLC (Eris) registration as a derivatives clearing organization (DCO) under the Commodity Exchange Act (CEA).

OPRA: Options Regulatory Fee Announcement

Date 01/07/2019

MIAX will amend the Options Regulatory Fee (“ORF”) of each MIAX Exchange as follows:

• MIAX Options will decrease the ORF to $0.00200 effective August 1, 2019
• MIAX PEARL will decrease the ORF to $0.00200 effective August 1, 2019
• MIAX Emerald will increase the ORF to $0.00130 effective August 1, 2019

CFTC Announces $2 Million Award To Joint Whistleblowers

Date 01/07/2019

The Commodity Futures Trading Commission (CFTC) announced today an award of approximately $2 million to two model whistleblowers who provided the agency with significant information that prompted the CFTC to open an investigation. 

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

Date 01/07/2019

The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month and renewed the agency’s commitment to workplace diversity and inclusion.  

S&P Dow Jones Indices: S&P Europe 350 Factor Dashboard

Date 01/07/2019

• European equities continued their rally into Q2, with modest gains compared to a stellar first quarter. 
• Most of our core European factor indices rose in the second quarter, with the S&P Europe 350 Quality being the standout. 
• The S&P Euro High Yield Dividend Aristocrats was the best performing dividend strategy in Q2.  

OCC June Cleared Volume Down 6.3 Percent

Date 01/07/2019

OCC, the world’s largest equity derivatives clearing organization, announced today that total cleared contract volume in June reached 383,474,767 contracts, a 6.3 percent decrease compared to last June. OCC’s year-to-date average daily cleared contract volume is 19,539,313, down 7.0 percent compared to 2018’s record-breaking pace.

CME Group And 4-H To Bring Commodity Carnival To 120 State And County Fairs - Program Has Reached Over 400,000 Youth In Six Years

Date 01/07/2019

CME Group, the world's leading and most diverse derivatives marketplace, and 4-H, the nation's largest youth development organization delivered by America's Cooperative Extension System, have announced the seventh year of their partnership to bring the award-winning Commodity Carnival experience to more than 120 state and county fairs across the Midwest this fair season.

SEC Charges Investment Adviser With Fraud

Date 01/07/2019

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest related to their recommendations to invest in securities issued by affiliates of Oregon-based Aequitas Management LLC.  Behn also fraudulently misused approximately $500,000 of one investor’s funds to pay personal expenses.

Euronext Invests In Tokeny Solutions, The Compliant Tokenization Platform

Date 01/07/2019

Euronext, the leading pan-European exchange in the Eurozone, announced today that it has subscribed the entire €5 million capital increase of Tokeny Solutions, resulting in a 23.5% stake and strong governance representation.

ESMA Issues Opinions On Product Intervention Measures By Cyprus, France, Malta And Sweden

Date 01/07/2019

The European Securities and Markets Authority (ESMA) has today issued four positive opinions on product intervention measures taken by the National Competent Authorities (NCAs) of Cyprus, France, Malta and Sweden. ESMA’s opinion finds that the proposed measures are justified and proportionate and that it is necessary for NCAs of other Member States to take product intervention measures that are at least as stringent as ESMA’s measures.