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  • FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $7.2 Million In Restitution To Customers Overcharged For Mutual Funds

    Date 04/06/2020

    FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions. The firm did not have supervisory systems and procedures reasonably designed to ensure that these customers, who collectively held more than 13,000 Merrill Lynch accounts, received available sales charge waivers and fee rebates.


  • Canadian Securities Regulators Implement Mandatory Transparency Of Debt Markets

    Date 04/06/2020

    The Canadian Securities Administrators (CSA) today finalized mandatory post-trade transparency requirements for government debt securities and expanded transparency requirements for corporate debt securities. With these changes, information about trades in corporate and government debt securities will be publicly available and disseminated by the Investment Industry Regulatory Organization of Canada (IIROC), the information processor (IP).

  • Opening Statement Of CFTC Commissioner Dawn D. Stump Before The Meeting Of The Commodity Futures Trading Commission

    Date 04/06/2020

    I want to take the opportunity to acknowledge the emotional toll recent events are having on our country and offer my sincere hope that we will emerge from this time with greater resilience and communal understanding.  We are fortunate to live in a true democracy.  In the United States, we enjoy certain freedoms within that democracy, and as children we are explicitly taught that the First Amendment to our Constitution protects the freedom of speech.  Today, I am reminded that to realize the intended benefit of our freedoms, there are also certain obligations required of us: the obligation to listen and the obligation to show respect.  As citizens of this nation, we should fulfill our obligation to hear all views and also to respect the property and service of others.  At the CFTC, we are a body of vastly different views and we receive input from each other and varied stakeholders.  But to fulfill our obligation to preserve our democratic system, we have to listen to and respect one another.  I feel like we do a lot of that well here at the CFTC, but this is a time to recommit across all aspects of our daily lives to these obligations.  I am today reminded that we are stronger as an agency – as a country – when we not only listen but hear each other.  And it is easier to hear one another through respectful dialogue.  We all must dedicate ourselves to being part of the solution – racism, violence, and disrespect are at odds with a society obligated to preserve democracy.

  • Canadian Securities Regulators Streamline At-The-Market Distribution Regime

    Date 04/06/2020

    The Canadian Securities Administrators today published final amendments that streamline at-the-market (ATM) distributions in Canada, and reduce regulatory burden for issuers, exchanges and investment dealers. ATM distributions will now be available to issuers without having to incur the time and cost of applying for exemptive relief to conduct such distributions.


  • Nodal Exchange Sets Records In Power Open Interest In May With Majority Of Market

    Date 04/06/2020

    Nodal Exchange achieved record open interest in power futures in May 2020.

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