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MIAX Options And MIAX Emerald Options Exchanges - Expanded Opening And Intra-Day Quote Width Requirements And Order Monitor Settings For Certain Symbols Trading On MIAX Options And MIAX Emerald Through Friday, December 29, 2023

Date 27/09/2023

MIAX Options and MIAX Emerald have expanded the maximum valid bid/ask differentials for Market Makers for certain symbols traded on the Exchanges. The expanded bid/ask differentials will be in effect through Friday, December 29, 2023.
SIFMA Welcomes The Introduction Of The Uniform Treatment Of Custodial Assets Act

Date 27/09/2023

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the introduction of legislation, the Uniform Treatment of Custodial Assets Act, which would address the capital treatment of digital assets held in custody at a financial institution:
CFTC Awards Whistleblower More Than $300,000

Date 27/09/2023

The Commodity Futures Trading Commission today announced an award of more than $300,000 to a whistleblower whose particularly informative tip caused the Division of Enforcement (DOE) to open an investigation that led to an underlying enforcement action. That tip precisely and accurately described the misconduct at issue. Moreover, the whistleblower assisted DOE staff multiple times during the investigation, provided additional evidence, interpreted it for DOE staff, and conserved substantial resources for the CFTC.
OCC Reports Mortgage Performance For Second Quarter Of 2023

Date 27/09/2023

The Office of the Comptroller of the Currency (OCC) reported on the performance of first-lien mortgages in the federal banking system during the second quarter of 2023.
ISDA, FIA Respond To CFTC Consultation On DCO Recovery And Orderly Wind-Down

Date 27/09/2023

On September 26, ISDA and the FIA responded to the CFTC’s notice of proposed rulemaking on derivatives clearing organizations’ (DCOs) recovery and orderly wind-down plans.

Trade Associations Submit Briefing On EU’s REMIT Article 9

Date 27/09/2023

On September 20, ISDA and six other trade associations sent a joint briefing to EU legislators on Article 9 of the Regulation of Wholesale Energy Market Integrity and Transparency (REMIT) review, which covers the supervision of third-country firms. The associations caution against establishing market access barriers for third-country firms, while endorsing the approach taken in the Council of the EU’s general approach. The Council and the European Parliament are currently negotiating the REMIT Review.
Testimony Before The United States House Of Representatives Committee On Financial Services, SEC Chair Gary Gensler, Washington D.C., Sept. 27, 2023

Date 27/09/2023

Good morning, Chairman McHenry, Ranking Member Waters, and members of the Committee. Thank you for inviting me to testify today. As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the SEC staff.
Statement On Jury’s Verdict In Trial Of Zhiying Yvonne Gasarch And Jackson Friesen, Gurbir S. Grewal, SEC Director, Division Of Enforcement, Sept. 27, 2023

Date 27/09/2023

Today, after a nine-day trial, a jury in the United States District Court for the District of Massachusetts found Canadian residents Zhiying Yvonne Gasarch and Jackson Friesen liable for their roles in long-running fraudulent schemes involving trading in microcap securities.
ISDA Derivatives Trading Forum Hong Kong, September 27, 2023, Welcome Remarks, Scott O’Malia, CEO, ISDA

Date 27/09/2023

Good afternoon everyone and welcome to the Derivatives Trading Forum. Let me start by thanking Hong Kong Exchanges and Clearing (HKEx) for sponsoring and hosting today’s event. We really appreciate your support.
Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Misappropriation Theory In Derivatives Markets

Date 27/09/2023

I respectfully dissent from the consent order in CFTC v. Xie,[1] because it has a material omission of the applicable legal precedent. The consent order inexplicably omits the only court opinion on the misappropriation theory of liability for this violation under section 6(c)(1) of the Commodity Exchange Act (CEA) and CFTC Rule 180.1. I believe that it is most appropriate to allege “misappropriation of confidential information in breach of a pre-existing duty of trust and confidence to the source of the information,” and not use the term “material non-public information,” which is a term of art under U.S. securities laws and regulations.