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New York State Department of Financial Services Superintendent Lacewell Launches Series Of Virtual Currency Initiatives: Superintendent Lacewell Announces DFS And SUNY Sign Landmark MOU To Launch A Virtual Currency Program DFS Issues New Proposal For Use Of Virtual Currency Conditional Licensing Authority - DFS Issues Guidance Finalizing Proposed Self-Certification Regime For Coin-Listing - Additional Resources Issued To Help Current And Aspiring Virtual Currency Market Participants Navigate DFS Requirements To Launch And Operate In New York

Date 24/06/2020

Superintendent of Financial Services Linda A. Lacewell today announced that the New York State Department of Financial Services (DFS) and State University of New York (SUNY) have signed a Memorandum of Understanding (MOU) expressing their intent to launch a new SUNY-related virtual currency program, “SUNY BLOCK.” DFS also proposed a new conditional licensing framework that makes it easier for start-ups to enter the New York market. Once licensed by DFS, SUNY BLOCK will be able to support nascent virtual currency entities from local communities, including those started or run by students or alumni, through the proposed conditional licensing framework announced today.
FINRA Fines SG Americas Securities $1.55 Million For Submitting Inaccurate Blue Sheet Data - SG Americas Securities To Pay $3.1 Million In Total Fines To FINRA and SEC

Date 24/06/2020

FINRA announced today that it has fined SG Americas Securities, LLC (SGAS) $1.55 million for submitting inaccurate trade data (known as “blue sheets”) to FINRA for more than seven years. Additionally, the firm must also certify within 90 days of this settlement that it conducted a comprehensive review and revised its systems and procedures related to the deficiency. The Securities and Exchange Commission (SEC) today announced a related settlement in which SGAS will pay $1.55 million for providing inaccurate blue sheet submissions to the SEC.
Wells Fargo Joins ICE ETF Hub For Enhanced Access To The ETF Primary Market

Date 24/06/2020

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced that Wells Fargo has become an authorized participant on ICE ETF Hub and has joined the platform’s advisory committee. An Authorized Participant is an institutional firm authorized by an ETF issuer to facilitate creations or redemptions of ETF shares.
Vienna Stock Exchange: VÖNIX Sustainability Index Is Celebrating 15 Years

Date 24/06/2020

Since the beginning of the week, the VÖNIX, one of the first national sustainability indices worldwide, has a new composition: Raiffeisen Bank International AG was newly included in the index. The VÖNIX is now entering its 16th index year and is thus a sign of the sustainability that is lived in Austria. It includes those companies listed on the Vienna Stock Exchange that are leaders in ecological and social activities and services. The calculation and distribution is carried out by Vienna Stock Exchange.
Opening And Intra-Day Quote Width Requirements And MIAX Order Monitor Settings For Certain Symbols Trading On MIAX Options And MIAX Emerald Extended Through Wednesday, September 30, 2020

Date 24/06/2020

Please refer to the following circulars for further details on extended maximum valid bid/ask differentials and MIAX Order Monitor Settings for certain symbols trading on MIAX Options and MIAX Emerald.

EACH Welcomes The Political Agreement On CCP Recovery And Resolution Which Will Enhance Financial Stability And Further Protect Taxpayers

Date 24/06/2020

The European Association of CCP Clearing Houses (EACH) welcomes the political agreement on CCP Recovery and Resolution reached on 23rd June by the Council of the EU and the European Parliament.
Statement On Commencement of Appointment Process For The 2020-2025 PCAOB Board Seat, Sagar Teotia, SEC Chief Accountant

Date 24/06/2020

The Public Company Accounting Oversight Board (“PCAOB”) is one of the centerpieces of the Sarbanes-Oxley Act of 2002 (“SOX”). SOX provides that the PCAOB is governed by a Board of five members—two of whom must be certified public accountants (“CPAs”), and three of whom must not be—serving for staggered five-year terms.
Finansinspektionen Will Hold Press Conference About SEB

Date 24/06/2020

Finansinspektionen (FI) will hold a press conference on Thursday, 25 June, following the Board of Directors’ decision regarding the investigation into SEB AB’s governance and control of measures to combat money laundering in the bank’s subsidiaries in the Baltic countries.
SG Americas To Pay $3.1 Million To Settle Charges Of Providing Deficient Blue Sheet Data

Date 24/06/2020

The Securities and Exchange Commission today announced settled charges against broker-dealer SG Americas Securities LLC for failing to provide complete and accurate securities trading information known as "blue sheet data." SG Americas agreed to pay a $1.55 million civil penalty to resolve the SEC's charges and separately agreed to pay $1.55 million to the Financial Industry Regulatory Authority (FINRA) to resolve parallel charges.
The 30 Most Influential People In European ETFs - etfstream.com Chooses The Swiss Stock Exchange’s Danielle Reischuk As One Of Just 30 People Who Shaped Europe’s ETF Ecosystem Last Year

Date 24/06/2020

Danielle Reischuk, Senior Sales Manager at the Swiss Stock Exchange, was named by etfstream.com as one of the 30 people who influenced the ETF industry the most in the last year. Discover the full list in the brochure Industry 30[PDF].