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  • MIAX Exchange Group: Establishment Of The Cross Market Regulation Working Group

    Date 08/04/2020

    The MIAX Exchange Group is issuing this regulatory alert to inform MIAX Exchange Group Members of the existence and role of the Cross Market Regulation Working Group (“CMRWG”), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (“ISG”) to focus on ways to reduce unnecessary regulatory duplication.

  • Statement at Open Meeting on Securities Offering Reform for Business Development Companies and Closed-End Investment Companies, SEC Chairman Jay Clayton, April 8, 2020

    Date 08/04/2020

    Good afternoon.  This is an open meeting of the U.S. Securities and Exchange Commission, under the Government in the Sunshine Act.

    Thank you to everyone joining today’s open meeting—the first held since the Commission and staff began working in a largely teleworking environment almost one month ago.  I would like to thank my fellow Commissioners and all of the Commission staff who helped coordinate this meeting, particularly the Office of the Secretary and the Office of Information Technology.  Thanks to their efforts, Commissioners and the presenting staff will be able to discuss today’s recommendation, and interested individuals from across the country—including investors, representatives of market participants, and others—should be able to hear our discussion in real-time.  This open meeting is also being recorded and will be accessible on the Commission’s website.


  • Coronavirus And The SIMM: ISDA Chief Executive Officer Scott O'Malia Offers Informal Comments On Important OTC Derivatives Issues In derivatiViews, Reflecting ISDA's Long-Held Commitment To Making The Market Safer And More Efficient.

    Date 08/04/2020

    Recent market volatility on the back of the coronavirus pandemic has raised some questions about the performance of the ISDA Standard Initial Margin Model (SIMM). We thought it would be helpful to set out some information on how the model has been designed, and how the governance framework for monitoring performance works.

  • CFTC Swaps Report Update

    Date 08/04/2020

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • FINRA Statement On SEC’s OCIE Risk Alerts For Reg BI And Form CRS

    Date 08/04/2020

    On April 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released Risk Alerts for Reg BI and Form CRS.  These Risk Alerts set forth OCIE’s expectations for firms’ compliance with Reg BI and Form CRS and provide broker-dealers with information about the scope and content of OCIE’s initial examinations following the compliance date of June 30, 2020.  FINRA will take the same approach as set forth in the SEC Risk Alerts when FINRA examines broker-dealers and their associated persons for compliance with Reg BI and Form CRS.  This initial approach will focus primarily on assessing whether firms have made a good faith effort to establish and implement policies and procedures reasonably designed to comply with Reg BI and Form CRS.  However, as always, FINRA will take action in the event FINRA observes indications of customer harm or conduct that would have violated current standards (e.g., suitability).

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