News Centre

Nasdaq CEO Adena Friedman To Present At The 2025 UBS Financial Services Conference

Date 04/02/2025

Nasdaq (Nasdaq: NDAQ) will be presenting at the following conference, with a webcast available at Nasdaq’s Investor Relations website: ir.nasdaq.com/events.cfm.

Readout: US Secretary Of The Treasury Scott Bessent's Call With European Central Bank President Christine Lagarde

Date 04/02/2025

Secretary of the Treasury Scott Bessent held an introductory meeting with European Central Bank President Christine Lagarde, where Secretary Bessent discussed shared economic priorities and key policy areas of mutual interest. Secretary Bessent also affirmed the importance of the U.S.-EU economic relationship and transatlantic cooperation.

FINRA Fines Apex Clearing $3.2 Million For Violations Relating To Fully Paid Securities Lending Program - First Enforcement Action Charging Violations Of FINRA Rule 4330

Date 04/02/2025

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure customer protection.

CFTC Division Of Enforcement To Refocus On Fraud And Helping Victims, Stop Regulation By Enforcement

Date 04/02/2025

Commodity Futures Trading Commission Acting Chairman Caroline D. Pham today announced a reorganization of the Division of Enforcement’s task forces to combat fraud and help victims while ending the practice of regulation by enforcement.

The Journey Begins, SEC Commissioner Hester M. Peirce, Feb. 4, 2025

Date 04/02/2025

When I was a child, my family took an annual road trip from Ohio to Maine and back. It was a different era. No cell phones to call for help if something went wrong with the car. Paper maps and directions written on scraps of paper, instead of a phone app to give you step-by-step directions. Forget hopping on the web to book a hotel; you just had to look for signs in the distance and stop in to see if there was a vacancy. No podcasts or audiobooks, just a scratchy radio straining to find a local station. Instead of watching videos on screens in the back, my brothers and I were scanning passing cars’ license plates to “collect” the states in a no-tech road-trip game. Road trips are very different these days. In most ways, technology has made them a more enjoyable and less risky endeavor.

CFTC Commissioner Mersinger And Former CFTC Chairman Giancarlo To Participate On A Panel At Ondo Summit 2025

Date 04/02/2025

Acting SEC Chairman Mark T. Uyeda Announces Executive Staff And Other Appointments

Date 04/02/2025

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s executive staff, which will advise the Acting Chairman on matters before the Commission and work closely with SEC staff.

Federal Reserve Board Announces Termination Of Two Enforcement Actions With Wells Fargo

Date 04/02/2025

The Federal Reserve Board on Tuesday announced the termination of two enforcement actions with Wells Fargo. Both were issued in 2011, with the first relating to deficient practices in residential mortgage loan servicing and foreclosure processing (PDF) and the second relating to deficient mortgage lending practices at a former subsidiary (PDF).

BIS: Governors And Heads Of Supervision Endorse Work Programme Of Basel Committee

Date 04/02/2025

• The Basel Committee's oversight body endorses the Committee's work programme and strategic priorities for 2025-26.
• The programme prioritises work on Basel III implementation, emerging risks and vulnerabilities, digitalisation, and liquidity.
• GHOS members unanimously reaffirm their expectation to implement Basel III in full and consistently.

CFTC Staff Issues No-Action Letter To Korea Exchange Concerning The Offer Or Sale Of KOSPI And Mini KOSPI 200 Futures Contracts

Date 04/02/2025

The Commodity Futures Trading Commission’s Division of Market Oversight today issued a no-action letter stating it will not recommend the CFTC take enforcement action against Korea Exchange (KRX) for the offer or sale of Korea Composite Stock Price Index (KOSPI) 200 Futures Contracts and Mini KOSPI 200 Futures Contracts to persons located within the United State while the Commission’s review of KRX’s forthcoming request for certification of the contracts under CFTC Regulation 30.13 is pending. DMO issued similar letters when the KOSPI 200 became a broad-based security index in 2021 and 2022. [See CFTC Press Release Nos. 8464-21 and 8610-22]