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Supporting Statement Of CFTC Commissioner Brian D. Quintenz Regarding Swap Clearing Requirement Exemptions

Date 02/11/2020

I am pleased to support this final rule, which codifies existing relief from the Commission’s requirement that certain commonly traded interest rate swaps and credit default swaps be cleared following their execution. The new exemptions may be elected by several classes of counterparties that may enter into these swaps, namely: sovereign nations; central banks; “international financial institutions” of which sovereign nations are members; bank holding companies, and savings and loan holding companies, whose assets total no more than $10 billion; and community development financial institutions recognized by the U.S. Treasury Department. Today’s final rule notes that many of these entities have actually relied on existing relief, electing not to clear swaps that are generally subject to the clearing requirement. I strongly support the policy of international “comity” described in the final rule, recognizing that sovereign nations and their instrumentalities should generally not be subject to the Commission’s regulations. I trust that by issuing this rule, the United States, the Federal Reserve, and other U.S. government instrumentalities will receive the same treatment in foreign jurisdictions.
CFTC Approves Amendments To Swap Clearing Requirement Exemptions

Date 02/11/2020

The Commodity Futures Trading Commission at its open meeting today approved final rules exempting swaps entered into by certain financial institutions from the Commission’s swap clearing requirement under the Commodity Exchange Act (CEA).
Term Extended For Ontario Securities Commission Vice-Chair Tim Moseley

Date 02/11/2020

The Ontario Securities Commission (OSC) today announced that the term of Tim Moseley, Vice-Chair of the OSC, has been extended by two years by the Ontario Ministry of Finance.
SEC Division Of Enforcement Publishes Annual Report For Fiscal Year 2020

Date 02/11/2020

The Securities and Exchange Commission’s Division of Enforcement issued its annual report for fiscal year 2020 today. The report provides a comprehensive view of the Division's accomplishments over the past year, discusses significant actions and key areas of strategic change, and details the Division's COVID-19-related enforcement efforts.
Ontario Securities Commission Announces Education And Outreach Activities To Advance Financial Literacy During COVID-19

Date 02/11/2020

The Ontario Securities Commission (OSC) today announced its plans for Financial Literacy Month in November to improve Canadians’ financial knowledge, skills, confidence and behaviours during the COVID-19 pandemic.

SIX Trading Key Figures: October 2020

Date 02/11/2020

In October 2020 trading turnover on the Swiss Stock Exchange was down 8.1% compared to the previous month and reached CHF 118.6 billion, while the number of transactions decreased by 3.0% to a total of 7,161,385. In comparison with the corresponding period last year (ytd), trading turnover was up by 19.3% to reach CHF 1,483.7 billion, while the number of trades rose by 58.9% to a total of 84,409,640. The SMI® fell by 5.9% and reached 9,587.2 points at the end of October.
Statement At Open Meeting On Facilitating Capital Formation And Expanding Investment Opportunities By Improving Access To Capital In Private Markets, SEC Commissioner Elad L. Roisman, Nov. 2, 2020

Date 02/11/2020

Today, the SEC staff has put before us a recommendation to adopt several rule amendments that aim to facilitate capital formation, particularly for small and medium-sized businesses and entrepreneurs across the United States. This recommendation is the product of extensive study and outreach on the part of the Commission. This has been a topic of interest to the Commission for many years, and the Commission put forth a comprehensive concept release in June 2019.[1] Further informed by this release and commenters’ responses and outreach, the Commission proposed amendments to our rules in March 2020.[2] In total, we have received over 300 comment letters and met with many issuers, investors, crowdfunding portals, as well as many other advocates and groups on improving the functioning of our markets for investors and companies. The amendments we are considering today would streamline and tailor the exempt offering framework for businesses seeking to raise capital while preserving investor protections. For these reasons, I am supportive of the changes.
Moscow Exchange: Risk Parameters Change For The Security NEM-RM

Date 02/11/2020

As per the Securities market risk parameters methodology, on 02.11.2020, 20-55 (MSK) the upper bound of the price band (up to 2890) and initial margins (up to 21.25 %) for the security XOM-RM were changed. New values are available here
Statement At Open Meeting On Facilitating Capital Formation And Expanding Investment Opportunities By Improving Access To Capital In Private Markets, SEC Commissioner Hester M. Peirce, Nov. 2, 2020

Date 02/11/2020

Thank you, Mr. Chairman, and thank you to Bill, John, and S.P for the overview of the recommendation. Conversation at the Commission’s conference on interconnectedness last week turned in a direction that helps to explain why what we are doing today is so important. Specifically highlighted was the need for the creation of “engines of capital accumulation.” These engines enable one generation to pass down wealth to the next and enable communities to grow and prosper. Small businesses are engines of capital accumulation. Unfortunately, many small businesses that could be successful struggle to find the capital they need to create wealth. We have to do a better job getting capital to those businesses, and that is what today’s amendments are all about.
Moscow Exchange: Risk Parameters Change For The Security NEM-RM

Date 02/11/2020

As per the Securities market risk parameters methodology, on 02.11.2020, 20-20 (MSK) the upper bound of the price band (up to 5530) and initial margins (up to 26.25 %) for the security NEM-RM were changed. New values are available here