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SEC Adopts Targeted Changes To Public Liquidity Risk Management Disclosure

Date 28/06/2018

The Securities and Exchange Commission today adopted amendments to public liquidity-related disclosure requirements for certain open-end funds. Under the amendments, funds would discuss in their annual or semi-annual shareholder report the operation and effectiveness of their liquidity risk management programs. This requirement replaces a pending requirement that funds publicly provide a quantitative end-of-period snapshot of historic aggregate liquidity classification data for their portfolios on Form N-PORT.

SEC Proposes Rule To Undermine Whistleblowers

Date 28/06/2018

Today, the Securities and Exchange Commission (SEC) issued a proposed rule to reduce the size of whistleblower rewards in cases in which the US recovers $100 million or more. This proposed rule was will discourage high ranking and well-compensated employees at large financial institutions from blowing the whistle.

Statement Of SEC Commissioner Piwowar At Open Meeting Regarding Inline XBRL Filing Of Tagged Data

Date 28/06/2018

I am very proud of the vote I cast with Commissioner [Kara] Stein to propose this rulemaking last year while serving as Acting Chairman of the Commission. I am equally glad today to have the opportunity to see this important rulemaking finalized at my last open meeting as a Commissioner.
CUSIP Global Services Collaborates With Templum Markets To Improve Transparency In Tokenized Securities Marketplace - CUSIP Identifiers To Be Assigned To Tokenized Asset Offerings

Date 28/06/2018

CUSIP Global Services (CGS) a leading provider of unique security and entity identifiers and descriptive data that enable efficient global trading, and Templum Markets, a registered Broker-Dealer and Alternative Trading System (ATS) specializing in capital formation and secondary trading of digital and tokenized securities, today announced a collaboration to bring industry standard CUSIP identifiers to the tokenized securities marketplace. Templum Markets is a subsidiary of Templum Inc., a fintech and blockchain-focused holding company that operates at the intersection of innovative technologies and the modernization of securities.
SEC Proposes Whistleblower Rule Amendments

Date 28/06/2018

The Securities and Exchange Commission today voted to propose amendments to the rules governing its whistleblower program. The whistleblower program was established in 2010 to incentivize individuals to report high-quality tips to the Commission and help the agency detect wrongdoing and better protect investors and the marketplace.

Firms Elect Securities America Financial Corporation’s Jim Nagengast To FINRA Board Of Governors - Nagengast Elected To Fill One Of Three Large-Firm Seats On FINRA Board

Date 28/06/2018

FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to elect one Large-Firm Governor to the FINRA Board of Governors. Jim Nagengast, Chief Executive Officer (CEO) of Securities America Financial Corporation Inc. and President of Securities America Inc., was elected as a Large-Firm Governor.
Statement Of SEC Commissioner Piwowar At Open Meeting Regarding Amendments To Smaller Reporting Company Definition,

Date 28/06/2018

Today’s meeting is going to be a long one, so I will keep my remarks brief. I support the adoption of this rulemaking. But, I would be remiss if I did not express my disappointment about what we could have accomplished today had we truly focused our efforts on capital formation.
SIFMA Submits Testimony Raising Concerns With Unpaid Arbitration Legislation (S. 2499)

Date 28/06/2018

Today, SIFMA submitted written testimony to the Senate Committee on Banking, Housing, and Urban Affairs detailing concerns with S. 2499, which would require the Financial Industry Regulatory Authority (FINRA) to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by FINRA. The testimony was submitted in conjunction with today’s hearing entitled ‘Legislative Proposals to Examine Corporate Governance.’
SEC Proposes New Approval Process For Certain Exchange-Traded Funds

Date 28/06/2018

The Securities and Exchange Commission today voted to propose a new rule and form amendments intended to modernize the regulatory framework for exchange-traded funds (ETFs), by establishing a clear and consistent framework for the vast majority of ETFs operating today. ETFs that satisfy certain conditions would be able to operate within the scope of the Investment Company Act of 1940 and to come to market without applying for individual exemptive orders. The proposal would therefore facilitate greater competition and innovation in the ETF marketplace, leading to more choice for investors.
Nodal Exchange To Provide CQG’s Trading Platform As Trading Screen For Nodal Contracts

Date 28/06/2018

Nodal Exchange LLC and CQG announced today that Nodal Exchange has contracted with CQG to supply the exchange’s trading participants with CQG’s trading solutions.