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MIAX: Electronic Filing Of Annual Reports

Date 19/12/2019

This alert is a reminder that, in connection with the Regulatory Services Agreement between MIAX PEARL and FINRA, the filing of annual report has been transitioned to the electronic filing platform available via FINRA’s Firm Gateway located at https://firms.finra.org.
AFME, FIA, ICMA, ISDA And ISLA Publish Master Regulatory Reporting Agreement

Date 19/12/2019

The Association of Financial Markets in Europe (AFME), Futures Industry Association (FIA), International Capital Market Association (ICMA), International Swaps and Derivatives Association, Inc. (ISDA) and International Securities Lending Association (ISLA) have published a new agreement intended to simplify reporting across different European Union regulatory regimes.
FINRA Fines Robinhood Financial, LLC $1.25 Million For Best Execution Violations

Date 19/12/2019

FINRA announced today that it has fined Robinhood Financial, LLC $1.25 million for best execution violations related to its customers’ equity orders and related supervisory failures that spanned from October 2016 to November 2017. As part of the settlement, Robinhood also agreed to retain an independent consultant to conduct a comprehensive review of the firm’s systems and procedures related to best execution.
Canadian Securities Regulators Move Forward With Embedded Commissions Bans

Date 19/12/2019

Canadian securities regulators announced today that they will ban two types of commissions that are embedded in some mutual fund purchases.
Nodal Exchange And IncubEx To Launch First Physically Delivered Low Carbon Fuel Standard (LCFS) Futures

Date 19/12/2019

Nodal Exchange and IncubEx announced they will launch the first physically delivered California Low Carbon Fuel Standard (LCFS) futures contract on January 24, 2020, pending regulatory review.

Intercontinental Exchange Reaches Open Interest Records In Brent Crude Oil Futures And TTF Natural Gas

Date 19/12/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced record open interest of 2.71 million contracts in Brent Crude Oil futures and 2.21 million contracts in TTF futures and options. As of December 17, and on a year-over-year basis, Brent Crude Oil futures open interest is up 22% versus the prior year, while open interest across TTF futures and options is up 73%.
The Updated Coefficients For Moscow Exchange Indices To Come Into Force

Date 19/12/2019

The following coefficients for Moscow Exchange indices come into force from December 20, 2019:
Borsa İstanbul Review Has Been Accepted To The Social Sciences Citation Index

Date 19/12/2019

Borsa İstanbul Review, the most prestigious international academic journal of Turkey in the areas of finance, capital markets and the economy, has been the first journal in Turkey in the areas of economy and finance to be covered by and included in the Social Sciences Citation Index (SSCI), the most qualified indexing systems in the field of social sciences. With this step, Borsa İstanbul Review became one of the most prestigious international academic finance publications.
SEC Names David Bottom As Chief Information Officer

Date 19/12/2019

The Securities and Exchange Commission (SEC) today announced that David Bottom has been appointed as the agency’s Chief Information Officer (CIO). In this role, Mr. Bottom will be responsible for overseeing the security and overall functions of the agency’s information technology systems. He will officially join the agency in January 2020.
Federal Reserve Payments Study Finds Growth In Card And Automated Clearinghouse Payments

Date 19/12/2019

The growth of payments using debit and credit cards and the automated clearinghouse (ACH) system continued to accelerate from 2015 to 2018, while check payments continued their long-run decline, according to U.S. noncash payments data collected by the Federal Reserve.