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  • SEC Approves Registration Of First Security-Based Swap Data Repository; Sets The First Compliance Date For Regulation SBSR

    Date 07/05/2021

    The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With today’s registration of DTCC Data Repository (U.S.), LLC (DDR), the security-based swap market now has the first SDR that can accept transaction reports. DDR intends to operate as a registered SDR for security-based swap transactions in the equity, credit, and interest rate derivatives asset classes.

  • CFTC Financial Data For Futures Commission Merchants Update

    Date 07/05/2021

    Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example:  The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015.  The 12 business day target for posting these data was April 10, 2015.

  • Nadex Temporarily Amends Binary Contracts Strike Width

    Date 07/05/2021

    Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) hereby provides notice that due to increased volatility in the underlying markets upon which the Nadex contracts are based, Nadex made changes to the strike widths of various contracts during the week of May 3, 2021 as indicated in the Weekly Notice. 

  • Ontario Securities Commission To Implement Ban On Deferred Sales Charge Option, Harmonizing Rule Across Canada

    Date 07/05/2021

    The Ontario Securities Commission (OSC) is moving to ban deferred sales charges (DSC) on mutual funds in Ontario. Under the rule, the payment of upfront sales commissions by fund organizations to dealers will be prohibited, harmonizing the DSC ban across Canada.

  • Nadex Refrains From Listing Certain Contracts

    Date 07/05/2021

    Due to activity in the underlying markets upon which the Nadex contracts are based and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex took the following actions: 

    • No EUR/JPY, USD/CAD, or GBP/USD 5-Minute contracts were listed on trade date May 3, 2021 for the 6:05pm ET expiration time; Additionally, no GBP/JPY 5-Minute contracts were listed on trade date May 3, 2021 for the 6:05pm and 6:10pm ET expiration times;