News Centre

MGEX Announces The Board Of Directors Election Results

Date 03/10/2019

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), announced the results of its annual Board of Directors (Board) election, held on October 3, 2019. Re-elected to the Board were Albert Cyrlin and Murray Stahl. Newly elected to the Board was Thomas P. Gallagher. All were elected to serve two-year terms.

Statement Of CFTC Commissioner Dawn D. Stump Regarding The CFTC Technology Advisory Committee Meeting

Date 03/10/2019

Thank you Commissioner Quintenz for convening today’s meeting of the Technology Advisory Committee (TAC).  I also want to extend my appreciation to the Committee members and presenters for their participation and engagement.

U.S. Attorney General William P. Barr Delivers Remarks At The U.S. Securities And Exchange Commission’s Criminal Coordination Conference, Washington, DC

Date 03/10/2019

Good afternoon. I appreciate the kind introduction. Thank you to Chairman Clayton and the Commission for extending the invitation to speak at today’s conference. I would also like to thank the SEC’s Co-Directors of Enforcement, Steven Peikin and Stephanie Avakian, for putting this conference together.  

Registration Open For CFTC’s Second Annual FinTech Forward Conference - FinTech Forward 2019 To Focus On “Exploring The Unwritten Future”

Date 03/10/2019

The U.S. Commodity Futures Trading Commission today announced that registration has opened for the agency’s second annual Fintech Forward Conference and that this year’s theme will be “Exploring the Unwritten Future.” The conference will take place on October 24, 2019 at the CFTC’s Washington, DC headquarters.

Investment Industry Regulatory Organization Of Canada Welcomes Canadian Securities Administrators' Client Focused Reforms

Date 03/10/2019

The Investment Industry Regulatory Organization of Canada (IIROC) today welcomed the Canadian Securities Administrators' (CSA) adoption of reforms to enhance the client-registrant relationship, and is working toward ensuring a uniform approach in IIROC's requirements.

Report From FINRA Board Of Governors Meeting – September 2019

Date 03/10/2019

FINRA’s Board of Governors met on Sept. 24-26 at FINRA’s offices in New York, where it approved six rule proposals and received several operational updates from FINRA staff.

Introduction Of AG William Barr At The Criminal Coordination Conference, SEC Chairman Jay Clayton, Washington D.C., Oct. 3, 2019

Date 03/10/2019

Good afternoon.

It is my pleasure to introduce Attorney General William Barr today.

I will begin by recognizing how fortunate we are to host, not just the Attorney General, but also the dedicated and talented group of public servants from the Department of Justice who are with us today to discuss how we work together to protect American investors and markets.

Autorité Des Marchés Financiers: Recent Developments Regarding PlexCoin

Date 03/10/2019

Yesterday, the Securities and Exchange Commission (“SEC”) issued a release This link will open in a new window following a judgment by the U.S. District Court for the Eastern District of New York against Dominic Lacroix and Sabrina Paradis-Royer in the matter of PlexCoin.

FINRA Foundation Awards 2019 Ketchum Prize To Dr. Olivia S. Mitchell - University Of Pennsylvania Professor Recognized For Outstanding Service And Research To Advance Investor Protection And Financial Capability In The U.S.

Date 03/10/2019

The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Olivia S. Mitchell the 2019 Ketchum Prize—its highest honor—for her extraordinary research on pensions and retirement income and her efforts worldwide to advance financial literacy.

Canadian Securities Regulators Propose Changes To Auditor Oversight Rules

Date 03/10/2019

The Canadian Securities Administrators (CSA) today published for comment proposed amendments to National Instrument 52-108 Auditor Oversight (The Notice) intended to provide the Canadian Public Accountability Board (CPAB) with improved ability to perform audit inspections. Under the proposed changes, some reporting issuers and audit firms may be required to take steps to provide CPAB with enhanced access to audit working papers, particularly in foreign jurisdictions.