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Statement Regarding National Trust And Fiduciary Services Company, Inc., et al., SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda, Jan. 17, 2023
Date 17/01/2023
We write separately to clarify our view that this Order should not be read to suggest that a statement that one fee is waived is not necessarily rendered misleading by the receipt of another fee. The Commission’s Order finds that National Trust and Fiduciary Services Company, Inc. (“NTFS”), a non-depository trust company, violated Sections 17(a)(2) and (3) of the Securities Act of 1933 when it stated that there were “no annual fees” for one of its product offerings, including by stating in trust instruments that the annual trustee fee was “waived.” According to the Order, these statements were misleading because NTFS failed to disclose that: (1) trust assets were invested in mutual fund share classes that charged recurring Rule 12b-1 fees, and (2) these Rule 12b-1 fees were paid to a broker-dealer subsidiary of NTFS that routed the fees to NTFS after deducting its expenses and satisfying its net capital requirements.
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Federal Reserve Board Provides Additional Details On How Its Pilot Climate Scenario Analysis Exercise Will Be Conducted And The Information On Risk Management Practices That Will Be Gathered Over The Course Of The Exercise
Date 17/01/2023
The Federal Reserve Board on Tuesday provided additional details on how its pilot climate scenario analysis exercise will be conducted and the information on risk management practices that will be gathered over the course of the exercise.
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Acting Comptroller Of The Currency Discusses Management Of Large Banks
Date 17/01/2023
Acting Comptroller of the Currency Michael J. Hsu today discussed large bank manageability in remarks at Brookings.
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Remarks By US Deputy Secretary Of The Treasury Wally Adeyemo At White House Event “Lowering Costs: Inflation Reduction Act Briefing”
Date 17/01/2023
Thank you, Secretary Granholm, and thank you all for joining me today. The Inflation Reduction Act is the most significant piece of legislation in our country's history when it comes to building a clean energy future. The law puts in place broad-based incentives to drive investment and job growth, while lowering costs for American families.
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Market For Underlying Security Used For Openings On MIAX Options, MIAX Pearl Options And MIAX Emerald Options For Newly Listed Symbols Effective Wednesday, January 18, 2023
Date 17/01/2023
Please refer to the Regulatory Circulars listed below for newly added symbols and the corresponding market for the underlying security used for openings on the MIAX Exchanges. The newly listed symbols will be available for trading beginning Wednesday, January 18, 2023.
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ISDA derivatiViews: A Strong Legal Framework For Carbon Trading
Date 17/01/2023
Over the coming years, trillions of dollars of investment will be needed to fund the projects, infrastructure and technology required to transition to a more sustainable economy. Financial markets will be critically important in helping to ensure that capital gets to where it’s needed, and we think the development of voluntary carbon markets is one of the ways this can be achieved. That’s why we published new standard documentation for the trading of verified carbon credits (VCCs) at the end of last year.
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MIAX Options And MIAX Pearl Options Exchanges - Final Reminder For Planned Network Changes Related To Shared 10G ULL Extranet
Date 17/01/2023
As previously announced in the January 5, 2023 Alert, MIAX Options and MIAX Pearl Options will discontinue the current 10G ULL shared extranet access and will begin providing separate dedicated MIAX Options and MIAX Pearl Options 10G ULL extranets on Friday, January 20, 2023 after the market close.
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CryptoCompare: Accelerate Your Strategy With Market Leading Derivatives Data
Date 17/01/2023
CryptoCompare data shows that derivative volumes continue to gain market share over spot volumes and in many cases, derivative markets show price leadership.
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Robinhood Announces Sherwood Media, LLC
Date 17/01/2023
Robinhood Markets, Inc. (NASDAQ: HOOD) today announced the formation of Sherwood Media, LLC, a new subsidiary that will be a home for news and information about the markets, economics, business, technology, and the culture of money. Sherwood Media, LLC will build on the success of Snacks — a daily markets and business newsletter — which has one of the largest audiences in the country. Tens of millions of people read Snacks each week for its incisive, illuminating views on the biggest news of the day. Joshua Topolsky — founder and former Editor-in-chief of the technology news network The Verge, co-creator of its parent company Vox Media, and former Chief Digital Content Officer at Bloomberg — will serve as the Editor-in-chief and President of Sherwood Media.
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ETFGI Reports The ETFs Industry In Canada Gathered Net Inflows Of US$6.01 Billion In December 2022
Date 17/01/2023
ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs/ETPs ecosystem, reported today that the ETFs industry in Canada gathered net inflows of US$6.01 billion during December, bringing year-to-date net inflows to US$30.85 billion. During the month, Canadian ETF assets decreased by 2.6%, from US$256 billion at the end of November to US$250 billion, according to ETFGI's December 2022 Canadian ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
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