News Centre

SIFMA Recognizes Rick Ketchum For His Contributions To Investors And The Marketplace

Date 30/10/2015

SIFMA today issued the following statement responding to the announced retirement of Rick Ketchum, current chairman and CEO of the Financial Industry Regulatory Authority (FINRA):

“Rick has had a distinguished career as a regulator and practitioner who has been at the forefront of every major milestone in the evolution of the U.S. securities markets over the last 40 years,” said Kenneth E. Bentsen, Jr., SIFMA president and CEO. “He has made his mark in ensuring a robust, efficient and pro-investor marketplace, and we wish him all the best in his retirement.” 

Ontario Securities Commission Introduces Ontario’s New Investor Office

Date 30/10/2015

The Ontario Securities Commission (OSC) today introduced Ontario’s new Investor Office, an important initiative that is a priority for the OSC this year. Also being published today is a large suite of investor materials and resources that express the Office’s purpose and approach and are available at www.InvestorOffice.ca.

US Agencies Finalize Swap Margin Rule

Date 30/10/2015

Five federal agencies have issued a final rule to establish capital and margin requirements for swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants regulated by one of the agencies ("covered swap entities"), as required by the Dodd-Frank Act.

Federal Reserve Board Proposes New Rule To Strengthen The Ability Of Largest Domestic And Foreign Banks Operating In The United States To Be Resolved Without Extraordinary Government Support Or Taxpayer Assistance

Date 30/10/2015

The Federal Reserve Board on Friday proposed a new rule that would strengthen the ability of the largest domestic and foreign banks operating in the United States to be resolved without extraordinary government support or taxpayer assistance.

SEC Adopts Rules To Permit Crowdfunding - Proposes Amendments To Existing Rules To Facilitate Intrastate And Regional Securities Offerings

Date 30/10/2015

The Securities and Exchange Commission today adopted final rules to permit companies to offer and sell securities through crowdfunding.  The Commission also voted to propose amendments to existing Securities Act rules to facilitate intrastate and regional securities offerings.  The new rules and proposed amendments are designed to assist smaller companies with capital formation and provide investors with additional protections.

US Treasury: Preliminary Annual Report On U.S. Holdings Of Foreign Securities At Year-End 2014

Date 30/10/2015

Preliminary data from an annual survey of U.S. portfolio holdings of foreign securities at year-end 2014 were released today and posted on the Treasury web site at (http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx). The final survey report, which will include additional detail as well as possible revisions to the data, will be released at a date to be determined.

Statement On Proposed Rule Amendments To Facilitate Intrastate And Regional Securities Offerings, SEC Commissioner Kara M. Stein, Oct. 30, 2015

Date 30/10/2015

I join my colleagues in thanking the staff for their hard work and efforts to advance these rule proposals. Specifically, I would like to thank Raquel Fox, Sebastian Gomez Abero, Zach Fallon, Tony Barone, Simona Mola-Yost, Rachita Gullapalli, Bryant Morris and Sarit Klein.

CFTC Commitments Of Traders Reports Update

Date 30/10/2015

The current reports for the week of October 27, 2015 are now available.

Statement On the Adoption Of Regulation Crowdfunding, SEC Commissioner Kara M. Stein, Oct. 30, 2015

Date 30/10/2015

Let me join in praising the hard work of the staff. Getting crowdfunding up and running may seem like a simple endeavor, but it has been a big undertaking. While it has been three and a half years since the bill was signed into law, I know these last weeks have been intense for many of you. So thank you to Sebastian Gomez Abero, Julie Davis, Amy Reischauer, Eddie Aleman, Heather Seidel, Joe Furey, Tim White, Joanne Rutkowski, Erin Galipeau, Devin Ryan, Bryant Morris, Dorothy McCuaig, Janice Mitnick, Simona Mola Yost, Vladimir Ivanov, Anzhela Knyazeva , and the entire team for your dedication and hard work.

BM&FBOVESPA Notice Of Public Holiday

Date 30/10/2015

There will be no trading or settlement on BM&FBOVESPA's markets on November 2nd.