News Centre

Remarks At The 43rd Annual Small Business Forum, Catching Up With Small Caps: Lessons Learned From Going Public And Staying Public, Commissioner Jaime Lizárraga, Washington D.C., April 18, 2024

Date 18/04/2024

Good afternoon. It is a pleasure to address the 43rd Annual Small Business Forum.

MIAX Exchange Group - Options And Equities Markets - Approval To Amend The FINRA Codes Of Arbitration Procedure And Code Of Mediation Procedure To Revise And Restate The Qualifications For Representatives In Arbitrations And Mediations

Date 18/04/2024

FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes, the Code of Arbitration Procedure for Industry Disputes, and the Code of Mediation Procedure to revise and restate the qualifications for representatives in arbitrations and mediations in the forum administered by FINRA Dispute Resolution Services (‘‘DRS’’). The amendments disallow compensated non-attorney representatives from representing parties in the DRS forum and clarify the circumstances in which any person would be prohibited from representing a party in the DRS forum. In addition, the amendments codify that a student enrolled in a law school participating in a law school clinical program or its equivalent and practicing under the supervision of an attorney may represent investors in the DRS forum.

Canadian Securities Regulators Publish Next Steps To Facilitate Access To Real-Time Market Data

Date 18/04/2024

The Canadian Securities Administrators (CSA) today published Staff Notice 21-334 Next Steps to Facilitate Access to Real-Time Market Data (RTMD) which summarizes the comments received to the Consultation Paper published in November 2022, and advises stakeholders of the CSA’s next steps to address the access to and use of RTMD.

Four Directors Join ISDA Board

Date 18/04/2024

ISDA has announced that four directors have joined its Board and 10 others have been re-elected at ISDA’s Annual General Meeting in Tokyo.

Tokeny Enhances Multi-Chain Capabilities With Integration Of Telos EVM

Date 18/04/2024

Tokeny, the leading tokenization platform, announces its latest strategic integration with Telos, bolstering its multi-chain capabilities and offering tokenized securities issuers enhanced flexibility in tokenization. This collaboration underscores Tokeny’s commitment to providing seamless and secure solutions for issuing, managing, and distributing tokenized securities across multiple blockchain networks.

Office Of The Comptroller Of The Currency Announces Enforcement Actions For April 2024

Date 18/04/2024

The Office of the Comptroller of the Currency (OCC) today released enforcement actions taken against national banks and federal savings associations (banks), and individuals currently and formerly affiliated with banks the OCC supervises.

Opening Remarks, Federal Reserve Governor Michelle W. Bowman, At The 2024 New York Fed Regional And Community Banking Conference, New York, New York (Via Prerecorded Video)

Date 18/04/2024

Good morning, it is really a pleasure to join you by video. I would like to thank Supervision at the New York Fed for inviting me to join you at this year's Regional and Community Banking Conference. These forums enable us to continue our engagement with bankers in the industry to address a variety of issues and challenges that exist in the current banking environment. Some of the topics that will be covered today include contingency funding, operational readiness, market uncertainties, and banking innovations. I appreciate that you have joined us to discuss these and several other topics on our agenda.

Promoting Competitiveness Is A Juggling Act, Speech By Sarah Pritchard, UK Financial Conduct Authority, Executive Director, Markets And Executive Director, International At TheCityUK International Conference 2024

Date 18/04/2024

Highlights

• We want to strike a balance between encouraging competition and innovation and advancing our other operational objectives.
• We aim to support beneficial and responsible innovation, ensuring consumers and markets reap the benefits of new technology.
• We welcome international firms but want them to operate in a way that protects consumers and market integrity.

Municipal CUSIP Request Volumes Rise For Second Consecutive Month - Corporate Volumes Slow In March

Date 18/04/2024

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for March 2024. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found a monthly increase in request volume for new municipal identifiers, while requests for corporate identifiers slowed on a monthly basis.

Miami International Holdings Announces Untimely Passing Of MGEX CEO Mark Bagan

Date 18/04/2024

Miami International Holdings, Inc. (MIH), a technology-driven leader in building and operating regulated financial markets across multiple asset classes and geographies, today announced the untimely passing of Mark G. Bagan, Executive Vice President – U.S. Futures Strategy of MIH and Chief Executive Officer of Minneapolis Grain Exchange (MGEX™).