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  • SEC: Second Commission Statement Relating to Certain Administrative Adjudications

    Date 02/06/2023

    The Commission

    June 2, 2023

    On April 5, 2022, the Commission issued a Statement Relating to Certain Administrative Adjudications (the “April 5 Statement”) describing a control deficiency related to the separation of enforcement and adjudicatory functions within the agency’s system for administrative adjudication.  As the April 5 Statement explained, for a period of time, certain databases maintained by our Office of the Secretary (“OS”) were not configured to restrict access by staff from our Division of Enforcement (“Enforcement”) to memoranda drafted by staff from the Adjudication Group (“Adjudication”) in our Office of the General Counsel (“OGC”).  As a result, in a number of adjudicatory matters, administrative support staff from Enforcement responsible for maintaining Enforcement’s case files accessed Adjudication memoranda via OS’s databases.  In many instances, those administrative staff also emailed Adjudication memoranda to other administrative staff for potential upload to Enforcement databases; once uploaded, the memoranda became accessible more broadly to Enforcement staff.

  • BOX Options Market: Additional Trading Slices And Symbol Redistribution – Reminder

    Date 02/06/2023

    This notice is being issued by BOX Options Market LLC (“BOX”) to provide a final reminder regarding the introduction of four additional Trading Slices and associated symbol redistribution previously detailed in IC-2022-34IC-2023-02IC-2023-68, and IC-2023-113.

  • Nigerian Exchange Market Report For June 2nd, 2023

    Date 02/06/2023

    The market opened for four trading days this week as the Federal Government of Nigeria declared Monday 29th May 2023 as Public Holidays to commemorate the inauguration of the newly elected President of the Federal Republic of Nigeria.

  • SIFMA Statement On Congressional Passage Of The Debt Ceiling Deal

    Date 02/06/2023

    SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on Congressional passage of the debt ceiling deal:

  • NGX RegCo, ISSB, FRCN To Host Webinar On Sustainability Disclosure Standards

    Date 02/06/2023

    NGX Regulation Limited (NGX RegCo), in collaboration with the International Sustainability Standards Board (ISSB) and Financial Reporting Council (FRC) of Nigeria, is set to host a 3-day workshop/webinar on sustainability disclosure standards for companies as well as investors in the capital market.