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Keynote Remarks At The Mid-Atlantic Regional Conference, SEC Chairman Jay Clayton, Washington D.C., June 4, 2019
Date 05/06/2019
Thank you, Jeff [Boujoukos], for that kind introduction. I am pleased to have the opportunity to speak with the SEC’s federal and state partners in my home town of Philadelphia. Thank you to the Philadelphia Regional Office for organizing this terrific event.
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SIFMA Statement On The SEC’s Final Regulation Best Interest Rule
Date 05/06/2019
SIFMA released the following statement today regarding the final version of Regulation Best Interest, approved by the Securities and Exchange Commission (SEC) today:
“As written, the SEC’s Regulation Best Interest rule will impose a materially heightened standard of conduct for broker-dealers when serving retail clients. While principles-based, the rule is specific with respect to the duty and obligations brokers owe to their clients, and what steps they must take to comply, including the obligation to eliminate, or disclose and mitigate, certain conflicts of interest. Not even the so-called fiduciary standard under the Investment Advisers Act includes the obligation to eliminate or mitigate conflicts. It is undeniable that this rule will directly enhance investor protection and contribute to increased professionalism among financial service providers,” stated SIFMA President and CEO Kenneth E. Bentsen, Jr. “Compliance with the rule will not be easy for the industry. Firms will need to make substantial changes. The costs to implement will no doubt be significant, but, we believe, worthwhile to uniformly enhance investor protection to the level investors should and do expect, while preserving investor choice and access to investment advice.”
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SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, And Consultant
Date 05/06/2019
The Securities and Exchange Commission today filed a new fraud action against Longfin Corp. and its CEO for falsifying the company’s revenue and, together with a former Longfin consultant, for fraudulently securing the company’s listing on Nasdaq. The SEC’s prior charges against these defendants and two others resulted in a preliminary injunction freezing more than $27 million in allegedly illegal trading proceeds from unregistered distributions of Longfin stock.
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Office Of The Comptroller Of The Currency Releases CRA Evaluations For 33 National Banks And Federal Savings Associations
Date 05/06/2019
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of May 1, 2019 through May 31, 2019. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
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“Veterans Hall” Dedication On The 75th Anniversary Of D-Day, SEC Chairman Jay Clayton, June 5, 2019
Date 05/06/2019
Thank you Darren for those kind remarks. And thank you to the Veteran’s Committee for organizing this important commemoration. I would also like to recognize Katherine Taylor and Carla Hairston and their team in facilities, who did an AMAZING job with the design of this memorial in a short time period. And thank you all for taking the time to be part of this dedication ceremony today. We gather here on the eve of the 75th Anniversary of D-Day, and in the shadow of Memorial Day, to pay our respects to the fallen and to salute all those who serve.
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Ontario Securities Commission Takes Action To Reduce Burden For Mining Issuers
Date 05/06/2019
The Ontario Securities Commission (OSC) announced today that, effective immediately, mining issuers can request reviews of public technical disclosure before filing a preliminary short form prospectus. Mining issuers represent the largest population of Ontario head office reporting issuers, and this development will allow for material comments to be resolved promptly.
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CFTC Swaps Report Update
Date 05/06/2019
CFTC's Weekly Swaps Report has been updated, and is now available.
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Statement At The Open Meeting On Regulation Best Interest, The Interpretation Of The Standard Of Conduct For Investment Advisers, The Form CRS Relationship Summary, And The Interpretation Of “Solely Incidental”, SEC Commissioner Elad L. Roisman, June 5, 2019
Date 05/06/2019
I would like to begin by thanking Director Dalia Blass [of the Division of Investment Management], Director Brett Redfearn [of the Division Trading and Markets], as well as our Chief Economist S.P. Kothari and former acting Chief Economist Chyhe Becker for their collective leadership in bringing these recommendations to fruition and for steering the process every step of the way. I am also grateful for the unwavering commitment and tireless work of each and every staff member who worked on these recommendations. Collectively, you have brought hundreds of years of experience and expertise to this endeavor. Your dedication to your work, the SEC’s mission, and investors comes as no surprise. Nevertheless, it has been truly remarkable to witness firsthand.
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CFTC Commissioner Behnam Announces Market Risk Advisory Committee Chair And Agenda For June 12 Public Meeting
Date 05/06/2019
Commodity Futures Trading Commission (CFTC or Commission) Commissioner Rostin Behnam today announced the agenda for the upcoming Market Risk Advisory Committee (MRAC) public meeting that will be held on June 12, 2019 at CFTC’s headquarters in Washington, D.C. and the designation of Nadia Zakir, Executive Vice President and Deputy General Counsel at the Pacific Investment Management Company LLC (PIMCO), as Chairperson of the MRAC. [See CFTC Press Release 7931-19 for attending, viewing and listening instructions.] Commissioner Behnam is the sponsor of MRAC.
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Nodal Exchange Achieves Open Interest Records In Power Futures And Expands Environmental Contracts
Date 05/06/2019
Nodal Exchange achieved a record 740 million MWh and record 38% market share of open interest in power futures as of end of May 2019.
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