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SEC-S&P Dow Jones Indices Charge Settlement for Section 17(a)(3) Violations

Wednesday, July 7, 2021
On May 17, 2021, the SEC announced that it had settled charges against S&P Dow Jones Indices LLC for alleged violations of Section 17(a)(3) of the Securities Act of 1933 relating to the failure to disclose a feature of an index tracked by an exchange-traded note (ETN) that resulted in the publication of index values that did not accurately reflect the economic value of the ETN.
S&P Indices published the index in question, the S&P 500 VIX Short Term Futures Index ER, based on the price of certain volatility-based futures contracts, and entered into agreements to license the index to, among others, an issuer of an inverse ETN. S&P Indices designed the index with an “auto hold” feature such that if the index experienced a significant spike, the publication of new index values would be frozen and the prior index value would continue to be published until such time as the index value came back within those thresholds or personnel manual ....

Hesterm Peirce , Sp Dow Jones Indices , Securities Act , Term Futures Index , Commissioner Peirce , ஸ்ப் டோ ஜோன்ஸ் குறியீடுகள் , பத்திரங்கள் நாடகம் , கால எதிர்காலங்கள் குறியீட்டு , ஆணையர் பியர்ஸ் ,

SEC commissioner raises idea of index provider rules

SEC commissioner raises idea of index provider rules
SEC commissioner raises idea of index provider rules
Bloomberg
Hester M. Peirce, a Republican, has served on the SEC since 2018. Her renomination as commissioner was secured Thursday.
The recent enforcement action against S&P Dow Jones Indices could lead to regulatory controls on index providers by the Securities and Exchange Commission.
The SEC on Monday announced a settlement with S&P Dow Jones Indices and a $9 million fine for charges that it was negligent overseeing a quality control feature of a volatility-related index that failed during a volatile day of trading in February 2018. ....

Hester Peirce , Sp Dow Jones , Exchange Commission , European Union , Credit Suisse , Term Futures Index , ஹெஸ்டர் பியர்ஸ் , ஸ்ப் டோ ஜோன்ஸ் , பரிமாற்றம் தரகு , ஐரோப்பிய தொழிற்சங்கம் , கடன் ஸ்யூயி , கால எதிர்காலங்கள் குறியீட்டு ,

S&P Dow Jones Indices Reaches $9 Mln Settlement With SEC

S&P Dow Jones Indices Reaches $9 Mln Settlement With SEC
WASHINGTON (dpa-AFX) - S&P Dow Jones Indices or S&P DJI, a division of S&P Global, Inc. (SPGI), announced Monday that it has reached a $9 million settlement with the U.S. Securities and Exchange Commission or SEC to resolve a matter that was the subject of a previously disclosed Wells Notice.
The settlement order finds that S&P DJI, which neither admits nor denies the SEC s allegations, acted negligently in violation of Section 17(a)(3) of the Securities Act of 1933 with respect to the operation of a then undisclosed quality assurance mechanism and its impact on certain real-time values of the S&P 500 VIX Short-Term Futures Index ER on a single business day, February 5, 2018. S&P DJI said it is pleased to have concluded this matter. ....

United States , Kostenloser Wertpapierhandel , Sp Dow Jones , Exchange Commission , Sp Global Inc , Securities Act , Term Futures Index , ஒன்றுபட்டது மாநிலங்களில் , ஸ்ப் டோ ஜோன்ஸ் , பரிமாற்றம் தரகு , ஸ்ப் உலகளாவிய இன்க் , பத்திரங்கள் நாடகம் , கால எதிர்காலங்கள் குறியீட்டு ,

S&P Dow Jones fined $9 million for volatility index lapse

S&P Dow Jones fined $9 million for volatility index lapse
S&P Dow Jones fined $9 million for volatility index lapse
Bloomberg
Traders work in the Cboe Volatility Index (VIX) pit on the floor of the Cboe Global Markets, Inc. exchange in Chicago in 2018.
S&P Dow Jones Indices will pay $9 million to settle charges brought by the Securities and Exchange Commission that it was negligent overseeing a quality control feature of a volatility-related index that failed during a day of volatility in futures contract trading.
In the settlement announced Monday, S&P Dow Jones Indices neither admitted nor denied the SEC s allegation that the index provider disseminated stale index values during a period of unprecedented volatility in February 2018. ....

Daniel Michael , Sp Dow Jones , Exchange Commission , Term Futures Index , டேனியல் மைக்கேல் , ஸ்ப் டோ ஜோன்ஸ் , பரிமாற்றம் தரகு , கால எதிர்காலங்கள் குறியீட்டு ,

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

United States , Daniell Koster , Matthewo Koop , Armitas Cohen , Jeffreyp Weiss , David Misler , Thomas Bednar , Joshuai Brodsky , Daniel Michael , Exchange Commission , Dc Newsfile Corp , Sp Dow Jones Indices , Term Futures Index , Auto Hold , Divisions Complex Financial Instruments , Complex Financial Instruments Unit , Market Abuse Unit , Enforcement Divisions Trial , ஒன்றுபட்டது மாநிலங்களில் , டேனியல் கோஸ்டர் , தாமஸ் பெட்டின் , டேனியல் மைக்கேல் , பரிமாற்றம் தரகு , ஸ்ப் டோ ஜோன்ஸ் குறியீடுகள் , கால எதிர்காலங்கள் குறியீட்டு , ஆட்டோ பிடி ,