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  • 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.’