News Centre

NZX: Hugh Stevens To Leave Smartshares

Date 26/01/2023

NZX Limited today announced that Smartshares Limited Chief Executive Hugh Stevens has resigned to take the next step in his career.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date January 13, 2023

Date 25/01/2023

At the end of the settlement date of January 13, 2023, short interest in 3,460 Nasdaq Global Market^SM securities totaled 10,244,491,640 shares compared with 10,481,618,341 shares in 3,462 Global Market issues reported for the prior settlement date of December 30, 2022. The mid-January short interest represents 2.92 days compared with 2.82 days for the prior reporting period.

NYSE Group Consolidated Short Interest Report

Date 25/01/2023

NYSE today reported short interest as of the close of business on the settlement date of January 13, 2023.

MIAX Exchange Group - Options & Equities Markets - Availability Of The Member Firm Portal User Manual

Date 25/01/2023

The MIAX Member Firm Portal (“MFP”) is an online portal which provides self-service functions for member firms for the MIAX Options Exchange, MIAX Pearl Options Exchange, MIAX Emerald Options Exchange and MIAX Pearl Equities Exchange. 

Statement On The Proposed Rule: Prohibition Against Conflicts Of Interest In Certain Securitizations, SEC Commissioner Mark T. Uyeda, Jan. 25, 2023

Date 25/01/2023

Thank you, Chair Gensler. Before I discuss today’s proposal, I want to recognize Renee Jones for her leadership of the Division of Corporation Finance since June 2021 and wish her the best in her return to academia. Congratulations to Erik Gerding as he prepares to step into his new role as Renee’s successor. I also want to recognize Dan Berkovitz for serving as general counsel to the Commission, as well as a lifetime of public service, including as a Congressional staffer and at the Commodity Futures Trading Commission, both as general counsel and a commissioner.

Silvestre Fontes Named SEC Director Of Boston Regional Office

Date 25/01/2023

The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week.

SIFMA Statement On SEC Proposal On Conflicts Of Interest In Securitizations

Date 25/01/2023

SFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the proposed rule from the Securities and Exchange Commission (SEC), “Prohibition Against Conflicts of Interest in Certain Securitizations”:

Statement On Proposed Rule: “Prohibition Against Conflicts Of Interest In Certain Securitizations”, SEC Commissioner Hester M. Peirce, Jan. 25, 2023

Date 25/01/2023

Thank you, Chair Gensler. I support putting out a new proposal as a step toward compliance with a more-than-decade-old mandate from Congress, but I have numerous questions about its content. The proposal should narrowly implement this mandate given the admitted lack of problems in the market. The release acknowledges that “[c]urrent market practices may be generally consistent with the re-proposed rule requirements as a result of market participants’ current compliance with the existing rules and reputational incentives.”

Statement On The Prohibition Against Conflicts Of Interest In Certain Securitizations Re-Proposal, SEC Commissioner Caroline A. Crenshaw Jan. 25, 2023

Date 25/01/2023

The Commission is proposing to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Even though it has been said frequently, I’d like to commend the work of so many tireless advocates, public servants, and elected officials in shepherding through a statute to protect American investors and their families, and to reduce the likelihood of a recurrence of the events that led up to the Global Financial Crisis of 2007-2008. And I also want to applaud the Commission staff for ensuring that Dodd-Frank, and all of our relevant statutes, are faithfully and meaningfully implemented.

CFTC Commissioner Goldsmith Romero To Participate In The American Bar Association Derivatives And Futures Law Committee Winter Meeting

Date 25/01/2023