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  • SEC Investor Advisory Committee To Hold Jan. 24 Telephone Meeting

    Date 07/01/2020

    The Securities and Exchange Commission’s Investor Advisory Committee (IAC) will meet telephonically on Jan. 24 at 11:30 a.m. Eastern time. The public is invited to listen to the meeting live using the dial-in details provided below. A recording of the meeting will be archived on the committee’s web page for later listening.

  • ESMA Clarifies Rules For CCPs’ Membership Criteria And Due Diligence

    Date 07/01/2020

    The European Securities and Markets Authority (ESMA) has today issued a report on a survey it conducted into membership arrangements and due diligence by central counterparties (CCPs) towards their clearing members. 

  • Phase II Of OCC Financial Safeguards Framework Approved By SEC

    Date 07/01/2020

    Enhancing its resiliency as a Systemically Important Financial Market Utility (SIFMU), OCC, the world's largest equity derivatives clearing organization, today announced that the U.S. Securities and Exchange Commission (SEC) approved Phase II of the company's Financial Safeguards Framework (FSF) on December 11, 2019. The approved changes to OCC's rules, clearing fund, and stress testing and margin methodology were implemented on December 16, 2019.

  • New Trading Participants At EEX In December 2019

    Date 07/01/2020

    In December 2019, ENERGOVIA LTD (Sofia) has been admitted to trade futures and options on the EEX power derivatives markets and the market for contracts on emission rights.

  • SIFMA CEO: Massachusetts Fiduciary Proposal Would Harm Everyday Investors

    Date 07/01/2020

    In testimony delivered today, SIFMA expressed strong concern over a Massachusetts proposal to create a state-specific fiduciary standard for broker-dealers and their representatives, and urged the Commonwealth to defer to Regulation Best Interest (Reg BI) – a new nationwide best interest standard which was approved by the SEC in June 2019 and is fully operational in June 2020.