News Centre

SEC: Energy Companies Agree To Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion

Date 02/12/2020

The Securities and Exchange Commission today announced that SCANA Corp. and its subsidiary South Carolina Electric & Gas Co. (SCE&G) have agreed to settle the SEC’s lawsuit charging them with defrauding investors by making false and misleading statements about a nuclear power plant expansion that was ultimately abandoned. The proposed settlement, which remains subject to court approval, would require SCANA to pay a $25 million penalty, and SCANA and SCE&G to pay $112.5 million in disgorgement plus prejudgment interest.

Ontario Securities Commission, Alberta Securities Commission, Autorité des marchés financiers and British Columbia Securities Commission Invite Businesses To Participate In Cross-Border Testing

Date 02/12/2020

The Ontario Securities Commission (OSC), Alberta Securities Commission (ASC), Autorité des marchés financiers (AMF) and British Columbia Securities Commission (BCSC) are inviting businesses in their respective markets to apply to test innovative products, services and business models across international borders.

Regulatory Notice 20-41: FINRA Amends Its Equity Trade Reporting Rules Relating To Timestamp Granularity - Effective Date: November 15, 2021 (ADF And TRFs), November 14, 2022 (ORF)

Date 02/12/2020

Summary

FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order execution events in increments finer than milliseconds must report to the FINRA Facilities in such finer increment—up to nanoseconds. The effective dates of the amendments, along with the schedule for publication of updated technical specifications and testing, are set forth below.

NZX Shareholder Metrics - November 2020

Date 02/12/2020

Please see attached NZX Limited shareholder metrics for November 2020.

Nasdaq November 2020 Volumes

Date 02/12/2020

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for November 2020, on its investor relations website.

A data sheet showing the monthly volumes and quarterly capture rates can be found at: http://ir.nasdaq.com/financials/volume-statistics.

SEC - Market Structure Data: Q3 2020 Data Now Available

Date 02/12/2020

SEC Staff is pleased to provide the following updates:

• Updated Metrics. Data series containing daily cancel-to-trade ratios, trade-order volumes, hidden rates, and odd-lot rate metrics for Q3 2020 are now available. This data extends to 105 total months the data series you can view in the data visualization tool as well as download in CSV format. The visualization for quote-life data now defaults to Q3 2020.
• New Exchanges. Members Exchange (MEMX) began trading on September 21 and Miami Pearl Equities Exchange (MIAX) began trading on September 29. Data from these exchanges are included in all of the website metrics and the User Download files.

CFTC Swaps Report Update

Date 02/12/2020

CFTC's Weekly Swaps Report has been updated, and is now available.

CFTC Chairman Tarbert Announces Members Of The Agricultural Advisory Committee’s New Ag-OI Subcommittee

Date 02/12/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the members of the Agricultural Advisory Committee’s (AAC) new Agricultural Futures Contracts with Open Interest Subcommittee (Ag-OI Subcommittee). The 22-member subcommittee will be chaired by Dr. Joseph Janzen, Assistant Professor in the Department of Agricultural and Consumer Economics at the University of Illinois.

Vienna Stock Exchange - ATX Prime: New Free Float factor For Addiko Bank

Date 02/12/2020

The Vienna Stock Exchange today announces new calculation parameters for Austrian indices after the quarterly review. The free float factor of Addiko Bank AG increases from 0.6 to 0.7. After the total exit of the previous shareholder Advent International Corp. more shares are now in free float. Thus, the weighting of Addiko in the ATX Prime and other Austrian indices will increase. This change will become effective on Monday, 21 December 2020. The next scheduled review of the composition of the ATX will take place on 2 March 2021.

The EBA Reactivates Its Guidelines On Legislative And Non-Legislative Moratoria

Date 02/12/2020

After closely monitoring the developments of the COVID-19 pandemic and, in particular, the impact of the second COVID-19 wave and the related government restrictions taken in many EU countries, the European Banking Authority (EBA) has decided to reactivate its Guidelines on legislative and non-legislative moratoria. This reactivation will ensure that loans, which had previously not benefitted from payment moratoria, can now also benefit from them. The role of banks to ensure the continued flow of lending to clients remains of utmost importance and with the reactivation of these Guidelines, the EBA recognises the exceptional circumstances of the second COVID-19 wave. The EBA revised Guidelines, which will apply until 31 March 2021, include additional safeguards against the risk of an undue increase in unrecognised losses on banks’ balance sheet.