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MIAX Options Exchange: MIAX Rule 519A, MIAX Risk Protection Monitor

Date 21/10/2016

Please refer to MIAX Regulatory Circular 2016-50 for details on changes to Rule 519A(a) for Risk Protection Monitor (RPM) settings and new Rule 519A(b) describing mandatory Member participation for establishing Allowable Order Rate settings and Allowable Contract Execution Rate settings. The required Allowable Order Rate settings and the Allowable Contract Execution Rate settings must be reasonably related to the Member’s internal risk management program as described in new Interpretations and Policies .06 to Rule 519A.
Federal Reserve Board Announces Plans To Enter Negotiations With FINRA To Potentially Act As Collection Agent Of U.S. Treasury Securities Secondary Market Transactions Data

Date 21/10/2016

The Federal Reserve Board announced Friday that it plans to collect data from banks for secondary market transactions in U.S. Treasury securities and will enter into negotiations with the Financial Industry Regulatory Authority (FINRA) to potentially act as the Board's collection agent for the data. The Board will seek public comment on its proposal. The Board's data collection would complement the work of the Securities and Exchange Commission, which recently approved a rule change by FINRA to require its broker-dealer members to report secondary market transactions in U.S. Treasury securities.
Ontario Securities Commission Requests Applications For The Securities Proceedings Advisory Committee

Date 21/10/2016

The Ontario Securities Commission (OSC) is seeking applications for membership on its Securities Proceedings Advisory Committee (SPAC).
CFTC Commitments Of Traders Reports Update

Date 21/10/2016

The current reports for the week of October 18, 2016 are now available.
IIROC Outlines Next Steps To Address Concerns Of Small-Cap Issuers

Date 21/10/2016

The Investment Industry Regulatory Organization of Canada (IIROC) today published a summary of the comments received at a roundtable discussion of market structure issues affecting small-cap issuers and outlined its next steps based on this stakeholder input.

SEC: John W. Berry Named Associate Regional Director For Enforcement In Los Angeles Office

Date 21/10/2016

The Securities and Exchange Commission today announced that John W. Berry has been named Associate Regional Director for Enforcement in the agency’s Los Angeles Regional Office.
BM&FBOVESPA Wins Transparency Trophy 8th Time In A Row

Date 21/10/2016

The Exchange is a winner of the Transparency Trophy in the category of Public Companies that have net earnings of up to BRL 5 billion. This is the 8th time in a row that the Exchange has won this award, which recognizes companies in Brazil that have the most transparent financial statements.
Canadian Securities Regulators Announce Dates For British Columbia Roundtables On CSA Consultation Paper 33-404

Date 21/10/2016

The Canadian Securities Administrators (CSA) today announced the dates for the British Columbia Securities Commission's (BCSC) roundtables to further explore issues raised in CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients, which proposes regulatory action to improve the client-registrant relationship. The dates for roundtables to be held by other CSA jurisdictions were announced in a previous press release on September 22, 2016.
SEC Charges Board Member With Insider Trading During And After Board Meeting

Date 21/10/2016

The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with insider trading based on nonpublic information he learned about an impending merger.
BM&FBOVESPA Registers Record Trading In Mini Ibovespa Futures Contracts

Date 21/10/2016

BM&FBOVESPA obtained a record 895,351 mini Ibovespa futures contracts (WIN) traded in the BM&F segment yesterday. The previous record was 852,037 mini futures contracts traded, on September 13, 2016.