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  • Remarks Of CFTC Chairman Timothy Massad Before The Energy Risk Summit USA 2015

    Date 13/05/2015

    Thank you for inviting me today, and I thank Paul for that kind introduction. It’s a pleasure to be here. I say that in particular because I lived here as a child and still have family here. My father worked in the oil industry, and so we lived in many of the well-known oil towns in this country, including Midland, Texas and Morgan City, Louisiana, in addition to Houston. We eventually moved to Connecticut when he started working in New York. And while my parents in their retirement and my siblings all migrated back to Texas, I was the black sheep of the family who mostly stayed in the Northeast.

  • Keynote Speech At New York City Bar 4th Annual White Collar Institute, Andrew Ceresney, Director, SEC Division Of Enforcement, May 12, 2015

    Date 12/05/2015

    1. Introduction

    Thank you for that kind introduction.  At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.

    I am very excited to be here in New York and am honored to be part of this terrific program.  Today I am going to talk about something that I am sure is of interest to this audience, if today's program is any indication – and close to my heart as a trial lawyer and former prosecutor – and that is the SEC’s national litigation program.  I plan to give an overview of the SEC’s litigation program and some of the recent success we’ve enjoyed – including in a few important areas that don’t usually get much exposure – as well as some of the challenges we face in our tougher cases.  I then will then turn to the question of the forum in which we bring our litigated cases, discussing some of the factors that we use in making recommendations to the Commission of a forum for litigation.  As you will see, my bottom line is that the Enforcement Division has been very successful litigating cases, in each available forum, despite the challenges we face at trial, 

  • TMX Group Announces Election of Directors

    Date 12/05/2015

    TMX Group today announced that the nominees listed in the management proxy circular for the 2015 Annual and Special Meeting of Shareholders were elected as directors of TMX Group Limited. Detailed results of the vote for the election of directors held at the Annual and Special Meeting on Tuesday, May 12, 2015 in Toronto are set out below.

  • CFTC Releases Final Interpretation On Forward Contracts With Embedded Volumetric Optionality

    Date 12/05/2015

    The U.S. Commodity Futures Trading Commission (CFTC) today released its Final Interpretation on Forward Contracts with Embedded Volumetric Optionality. The interpretation identifies when an agreement, contract, or transaction would fall within the forward contract exclusions from the “swap” and “future delivery” definitions in the Commodity Exchange Act, notwithstanding that it allows for variations in the delivery amount (i.e., contains “embedded volumetric optionality”). The unanimous vote was conducted via seriatim.

  • FINRA's NAC Strengthens Sanction Guidelines For Fraudulent Conduct

    Date 12/05/2015

    The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council’s (NAC) review of its Sanction Guidelines has resulted in a number of significant revisions. In particular, the NAC is amending the overarching principles that apply to sanctions determinations and is revising the Sanction Guidelines to call for tougher sanctions against those who commit fraud or make unsuitable recommendations to customers. The revised Sanction Guidelines now advise FINRA adjudicators to strongly consider barring an individual respondent, or expelling a firm, for cases involving fraud. For individuals who violate FINRA’s suitability rule, the range of the suspension has increased from one year to two years, and adjudicators are advised to strongly consider barring an individual respondent where aggravating factors predominate over mitigating ones.

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