News Centre

Statement On Edward D. Jones Enforcement Action - SEC Commissioners Luis A. Aguilar, Daniel M. Gallagher, Kara M. Stein And Michael S. Piwowar

Date 13/08/2015

The Commission’s recent enforcement action against Edward D. Jones involving the offer and sale of municipal bonds to retail investors highlights the need for clear rules requiring the disclosure of mark-ups and mark-downs. We encourage the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) to complete rules mandating transparency of mark-ups and mark-downs, even in riskless principal trades. If not, we believe the Commission should propose rules to address this important issue.

Office Of The Comptroller Of The Currency: Amrit Sekhon Named Deputy Comptroller For Capital And Regulatory Policy

Date 13/08/2015

Amrit Sekhon today was named Deputy Comptroller for Capital and Regulatory Policy at the Office of the Comptroller of the Currency (OCC).

CFTC Staff Issues Extension To Time-Limited No-Action Letter On The Applicability Of Transaction-Level Requirements In Certain Cross-Border Situations

Date 13/08/2015

 The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Divisions of Swap Dealer and Intermediary Oversight (DSIO), Clearing and Risk, and Market Oversight (Divisions) today issued a time-limited no-action letter that extends relief to swap dealers (SDs) registered with the Commission that are established under the laws of jurisdictions other than the United States (Non-U.S. SDs) from certain transaction-level requirements under the Commodity Exchange Act.

CBOE And C2 To List Options On Shake Shack, Inc. (SHAK)

Date 13/08/2015

CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that the Chicago Board Options Exchange (CBOE) and C2 Options Exchange (C2) will list options on Shake Shack, Inc. (ticker symbol: SHAK) beginning Friday, August 14, 2015.

EEX New Participant Power Futures: Duferco Energia S.P.A.

Date 13/08/2015

Duferco Energia S.P.A. has been admitted to exchange trading for Phelix Futures, Phelix Options, French Financial Power Futures, Italian Financial Power Futures, Swiss Financial Power Futures and Greek Financial Power Futures.

Statement Of CFTC Commissioner J. Christopher Giancarlo On The Fifth No-Action Letter Delay Of Staff Advisory 13-69 (Washington, DC)

Date 13/08/2015

As I have repeatedly stated, the benign sounding ‘Staff Advisory 13-69’ should be permanently withdrawn because it represents a threat to American jobs and vital financial markets. When a regulatory action needs five delays, I think we all can admit that it is just not workable and should be scrapped. Doing so would be a good first step to helping market participants cope with an increasingly complex, conflicting and costly array of CFTC cross-border regulations.”

EEX New Participant Power Futures: Total Gas & Power Ltd.

Date 13/08/2015

Total Gas & Power Ltd. has been admitted to exchange trading for Spanish Financial Power Futures.

Statement By The European Commission On Latest Steps Towards An ESM Programme For Greece

Date 13/08/2015

Following the technical agreement on a Memorandum of Understanding between the Institutions and the Greek authorities, the Commission this morning adopted the necessary draft Council decisions for a three-year programme under the European Stability Mechanism (ESM). These documents were transmitted to the Council ahead of the Eurogroup meeting on Friday.

EEX New Participant Power Futures: ENSO Energie Sachsen Ost AG

Date 13/08/2015

ENSO Energie Sachsen Ost AG has been admitted to exchange trading for Phelix Futures.

Irish Stock Exchange Announces €10 Million Expansion Plan For iIs Dublin Headquarters

Date 13/08/2015

• Acquires landmark building on Foster Place
• Expansion to cater for up to 50% increase in staff numbers and continued growth
• Acquisition will maintain ISE’s presence in Anglesea Street that dates back to 1878
• CEO Deirdre Somers: “The ISE needs more space for its expansion. This will deliver a state-of-the-art financial services hub in Dublin city centre while preserving the link with our historic home.”