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Remarks To The SEC Government-Business Forum On Small Business Capital Formation By Commissioner Michael S. Piwowar

Date 19/11/2015

Thank you, Keith [Higgins], for that introduction. Last month, I visited a number of cities in Asia to meet with fellow regulators, business groups, and other market participants. One topic of significant concern was how to facilitate the creation and success of small and medium-sized enterprises (SMEs). Many of the meeting participants recognized that an economy conducive to SMEs was an important factor for innovation, business development, and jobs creation. They expressed admiration for the Silicon Valley-like culture that not only fosters new start-ups, but rapidly grows the successful ones. They asked many questions as to how they might replicate that environment in their own jurisdictions.
FINRA Fines Deutsche Bank Securities Inc. $1.4 Million For Violating Regulation SHO And Short Interest Reporting Rules

Date 19/11/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA's short interest reporting rule and for related supervisory failures.
The Continuing Work Of Enhancing Small Business Capital Formation Public Statement By SEC[1] Commissioner Luis A. Aguilar On November 19, 2015

Date 19/11/2015

Thank you and good morning. Let me start by extending a warm welcome to the panel members and other participants, including those viewing by webcast, to today’s Government-Business Forum on Small Business Capital Formation. I look forward to your discussions. I also want to thank the staff of the Division of Corporation Finance and, of course, the Division’s Office of Small Business Policy for organizing today’s Forum.
BM&FBOVESPA Compensates 2014 Greenhouse Gas Emissions

Date 19/11/2015

BM&FBOVESPA has compensated greenhouse gas emissions that it was unable to reduce in 2014, thus becoming carbon neutral for another year. The initiative has been in existence since 2013 when the Exchange compensated 2011 and 2012. Since then the compensation process has become annual.
Statement By Commissioner Stein At The 2015 Government-Business Forum On Small Business Capital Formation, SEC Commissioner Kara M. Stein, Nov. 19, 2015

Date 19/11/2015

Thank you. It is a pleasure to be with you again, at the annual Government-Business Forum on Small Business Capital Formation. A lot has happened since we gathered here just one year ago. Regulation A+ and Crowdfunding, two pivotal pieces of the JOBS Act, have now been completed. And, we have proposed an expansion of intrastate securities offerings under Rule 147.

Finansinspektionen: Measures Against Risks From Household Indebtedness

Date 19/11/2015

Summary of the speech by Finansinspektionen’s Director General Erik Thedéen at the Centre for Business and Policy Studies’ seminar on the economic situation on 19 November 2015.
SEC: Custody Rule Violators Settle Charges

Date 19/11/2015

The Securities and Exchange Commission today announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule after being reprimanded for violations only a few years before.
Austrian & CEE Investor Conference 2015 In New York/Chicago

Date 19/11/2015

The Austrian & CEE Investor Conference in New York is being held on Monday, 23 November 2015. Already in its 13th year, the conference is hosted in collaboration with Auerbach Grayson, Erste Group and Wiener Börse. The conference will take place at the New York Palace Hotel.
BATS ETF Marketplace Welcomes Another WisdomTree ETF - WisdomTree Global Hedged SmallCap Dividend Fund Began Trading Today

Date 19/11/2015

BATS Global Markets (BATS), the #1 U.S. market for the trading of exchange-traded funds (ETFs), today welcomed the WisdomTree Global Hedged SmallCap Dividend Fund (BATS: HGSD), which began trading today on BATS Exchange.
EBRD: Banking Consolidation And Regulatory Requirements In Focus At Vienna Initiative 2

Date 19/11/2015

The eighth Full Forum of the Vienna Initiative assessed key achievements over the past year and proposed an agenda for future cooperation at a meeting hosted by the National Bank of Poland in Warsaw on 18 November on cross-border banking issues affecting Central, Eastern and South Eastern Europe.