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CFTC’s Technology Advisory Committee Announces Agenda For February 14 Public Meeting

Date 12/02/2018

The Commodity Futures Trading Commission (CFTC) today announced the agenda for the upcoming Technology Advisory Committee (TAC) public meeting that will be held on Wednesday, February 14, 2018 at CFTC’s headquarters in Washington, DC (for attending, viewing, and listening instructions, see CFTC Press Release 7690-18).

Remarks At SIFMA AML, Susan Schroeder, Executive Vice President, Enforcement, New York, NY, February 12, 2018

Date 12/02/2018

Good morning. It’s great to have this opportunity to be with you today.

My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I won’t steal Mike’s thunder and tell you everything that he is going to say. Rather, I want to take a step back and take this opportunity to talk about something that has been the main focus of my waking hours since I took over my role as head of FINRA’s new consolidated Enforcement group last year—and that is how FINRA Enforcement can be most effective.

SEC Launches Share Class Selection Disclosure Initiative To Encourage Self-Reporting And The Prompt Return Of Funds To Investors

Date 12/02/2018

The Division of Enforcement of the Securities and Exchange Commission today announced a self-reporting initiative that seeks to protect advisory clients from undisclosed conflicts of interest and return money to investors.

BSX Lends Its Support To Bermuda’s ‘Just Good Business’ Campaign

Date 12/02/2018

The Bermuda Stock Exchange (BSX) today announced its support for Bermuda’s recently launched ‘Just Good Business’ campaign.

Cboe Global Markets Reports Week Of Record Trading Activity

Date 12/02/2018

• A record week for trading volume at Cboe Global Markets
• Several single-day records set across Cboe Global Markets exchanges and products between February 5 and February 9, 2018

CFTC Issues Order Of Registration To ICE Futures Singapore To Permit Trading By Direct Access From The U.S.

Date 12/02/2018

The Commodity Futures Trading Commission (CFTC) announced the issuance of an Order of Registration (Order) to ICE Futures Singapore Pte. Ltd. (ICEFS), a Foreign Board of Trade (FBOT) located in Singapore. Under the Order, ICEFS is permitted to provide its identified members or other participants located in the U.S. with direct access to its electronic order entry and trade matching system.

Investor Protection, Capital Formation And Market Integrity Are Top Priorities In SEC Budget Request

Date 12/02/2018

The Securities and Exchange Commission today announced a $1.658 billion budget request for fiscal year 2019 to support its core mission and expand oversight and enforcement in emerging areas such as financial innovation, market structure and cybersecurity. The SEC’s funding is offset by matching collections of fees on securities transactions and is budget and deficit neutral.

Saudi Arabia Capital Market Authority Warns Investors Against Digital Currency Investment And Its Involvement Of High Monitoring, Security And Market Risks

Date 12/02/2018

The Capital Market Authority (CMA) affirmed that investment, speculation and participation in the digital currency initial offers involve high risk, including risk of capital loss and fraud, as well as market risks associated with high volatility in digital currency prices, and uncertainty about its valuation, in addition to the difficulty of protecting investors as it being out of the Kingdom of Saudi Arabia's scope of control.

MOU Signing Ceremony Between The Egyptian Exchange (EGX) And The Junior Businessmen Association (EJB)

Date 12/02/2018

Mr. Mohamed Farid, The Egyptian Exchange (EGX) Chairman, signed a Memorandum of Understanding with Mr. Amr El Sejini, The Egyptian Junior Business Association (EJB) Chairman, to sustain EGX efforts in introducing the investment opportunities of the stock market to the business community.

Eurex: MSCI Offering Expanded To Include Exposure To Korea

Date 12/02/2018

January saw Eurex MSCI products get off to a great start in 2018. Due to the advancing roll period, open interest in many established products and several new ones have gained traction, most notably in the MSCI U.S. products.