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Canadian Securities Regulators Seek Comment On Proposed Designated Benchmarks Rule

Date 14/03/2019

The Canadian Securities Administrators (CSA) today published for comment a proposed rule, National Instrument 25-102 Designated Benchmarks and Benchmark Administrators (Proposed NI 25-102), intended to implement a comprehensive regime for the designation and regulation of benchmarks and those that administer them.
US Department Of Justice: Two Indiana Men Sentenced To Prison In Connection With Insider Trading Scheme

Date 14/03/2019

Two brothers were sentenced today for their participation in a 2014 fraudulent scheme to trade in options ahead of SAP SE’s (SAP) acquisition of Concur Technologies (Concur), which netted them and their co-conspirators hundreds of thousands of dollars in profits.
NZX - Dividend Reinvestment Plan: Strike Price

Date 14/03/2019

NZX advises that the strike price for the dividend reinvestment plan (DRP) operating in respect of the dividend payable on Friday 22 March 2019 has been set at $0.9714 per share.
Canadian Securities Regulators Consult On Regulatory Framework For Crypto-Asset Trading Platforms

Date 14/03/2019

The Canadian Securities Administrators (CSA) and Investment Industry Regulatory Organization of Canada (IIROC) today published Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21-402 (pdf - 258 KB)This link will open in a new window Proposed Framework for Crypto-Asset Trading Platforms. The consultation paper seeks input from the fintech community, market participants, investors and other stakeholders on how regulatory requirements may be tailored for crypto-asset trading platforms (platforms) operating in Canada.
MIAX Options - SPIKES Strategy Order Cut-Off Time

Date 14/03/2019

MIAX Options will conduct a SPIKES Special Settlement Auction on Tuesday, March 19, 2019, to determine the final settlement price of expiring SPIKES Index option contracts.

Federal Reserve Announces Seventh Triennial Study To Examine U.S. Payments Usage

Date 14/03/2019

Beginning this month, financial institutions and payments organizations will receive invitations to participate in the seventh triennial Federal Reserve Payments Study, the Federal Reserve announced today. Based on survey data provided by participants, past reports from the studies have documented substantial change in the aggregate volume and composition of noncash payments in the United States since 2000. Recent reports have also revealed dynamic changes in aggregate payments fraud, automated teller machine withdrawals, and payment authentication methods, among other topics.
U.S. Consolidated Audit Trail Clock Synchronization Notice

Date 14/03/2019

As previously communicated, Industry Members must complete an annual certification for Business Clock Synchronization by March 15th of each year. A reminder notification can also be found on the CAT NMS Plan website via this link. The national securities exchanges and Financial Industry Regulatory Authority, Inc. (“FINRA”) previously issued a Consolidated Audit Trail (“CAT”) notice regarding clock synchronization, including information on the Business Clock synchronization requirement, synchronization procedures, violation reporting, and annual certifications which is available via this link. A clock synchronization certification form is available via this link.
SIFMA Submits Written Statement On The SEC’s Regulation Best Interest To House Financial Services Subcommittee On Investor Protection, Entrepreneurship And Capital Markets

Date 14/03/2019

SIFMA submitted a written statement today to the House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets in conjunction with a hearing entitled ‘Putting Investors First? Examining the SEC’s Best Interest Rule.’
Jason J. Burt Named Associate Regional Director For Enforcement In SEC's Denver Office

Date 14/03/2019

The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement in the SEC's Denver Regional Office. Mr. Burt succeeds Kurt Gottschall, who became Regional Director of the SEC's Denver office in November 2018.
State Street Quarterly Brexometer Index Reveals Latest Investor Sentiment Towards Brexit

Date 14/03/2019

State Street Corporation (NYSE: STT) today announced the latest findings from its Brexometer Index, a quarterly pulse survey of institutional investor sentiment on the economic impact of Brexit.