On 5 August 2021, SEC issued notice of CBOE filing of amendment no. 1, and order instituting proceedings on whether to approve proposal, as modified by amendment. Amendment No. 1 reduced proposed position limit for GLD options from 1mn contracts to 500,000 contracts, and provided additional justification in support of the proposal. Comments due 21…
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Rulefinder Reports Temporary Short Selling Ban
On 9 August 2021, Rulefinder reported a temporary short selling ban effective on 10 August 2021.
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India – SEBI Foreign Portfolio Investor Guidelines
On 4 August 2021, IND SEBI modified the operational guideline for foreign portfolio investors (FPIs) and custodians and designated depository participants (DDPs). To operationalize amendment to SEBI (foreign portfolio investors) regulations, 2019. Modified guidelines to say the contribution of resident Indian individuals shall be made through the liberalized remittance scheme (LRS) notified by Reserve Bank…
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FINRA – Extends Short Sale Reporting Comment Period
On 4 August 2021, FINRA requested extended comment period on short sale reporting changes. FINRA issued Regulatory Notice 21-19: FINRA requests comment on short interest position reporting enhancements and other changes related to short sale reporting. Short Sale Reporting Proposal Modifications proposed to FINRA short interest reporting requirements, to consolidate publication of short interest data…
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France – GVT Investment Firms Supervision
On 1 August 2021, FR GVT published seven orders dated 28 July 2021 amending existing legislation to allow further transposition of EU investment firms directive. The first order amends a previous order of 3 November 2014 and specifies the rules making it possible to define supervisory authority on consolidated basis of a company group. The…
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Luxembourg – CSSF UCITS Circular Updated
On 30 July 2021, LUX CSSF highlighted changes made to circular CSSF 11/509 by cir 21/778 to include modifications re law of 21 July 2021 transposing dir 2019/1160. Also referred to new FAQs issued for notification procedures and stated that regarding pre-marketing notifications of AIFMs, a new dedicated page is also available. Follows LUX GVT…
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