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Remarks At The Harvard Law School Symposium On Building the Financial System Of The 21st Century: An Agenda For Europe And The United States, SEC Commissioner Daniel M. Gallagher, Frankfurt, Germany

Date 16/04/2015

Thank you, Hal [Scott], for that kind introduction. I apologize for not being able to address you in person. Back in 2013, I opened a speech to the American Academy in Berlin with a bit of German. While I managed not to call myself a jelly donut, my German was nonetheless so bad that I have been banned from entering the country to speak in a public forum.
Virtu Financial Announces Pricing Of Initial Public Offering

Date 15/04/2015

Virtu Financial, Inc. ("Virtu Financial") (Nasdaq:VIRT), a technology enabled global market maker, announced today the pricing of its initial public offering of 16,532,272 shares of its Class A common stock at a price to the public of $19.00 per share. All of the shares are being offered by Virtu Financial. In addition, Virtu Financial has granted the underwriters a 30-day option to purchase up to an additional 2,479,841 shares of Class A common stock. The shares of Class A common stock are expected to begin trading on The NASDAQ Stock Market on April 16, 2015, under the symbol "VIRT."
CFTC Orders Tennessee-Based Commodity Pool Operator Hope Advisors LLC To Pay A $100,000 Civil Monetary Penalty For Registration And Reporting Violations

Date 15/04/2015

The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiringHope Advisors LLC (HAL), a Brentwood, Tennessee, Commodity Pool Operator (CPO), to pay a $100,000 civil monetary penalty for acting as a CPO without registering with the CFTC, as required, and for providing monthly statements to pool participants that failed to show all the information required by Commission Regulation.
Treasury International Capital Data For February

Date 15/04/2015

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for February 2015. The next release, which will report on data for March 2015, is scheduled for May 15, 2015.
CFTC Swaps Report Update

Date 15/04/2015

CFTC's Weekly Swaps Report has been updated, and is now available.

New York Attorney General Eric T. Schneiderman Announces Settlement With Ernst & Young Over Auditor’s Involvement In Alleged Fraud At Lehman Brothers - Agreement Resolves Allegations Firm Enabled Bank To Paint False Picture Of Its Financial Statements By Temporarily Removing Tens Of Billions Of Dollars Of Securities From Its Balance Sheet Without Disclosing Those Transactions On Financial Statements - Schneiderman: Auditors Will Be Held Accountable For Failures To Honestly And Fairly Audit Public Companies

Date 15/04/2015

Attorney General Eric T. Schneiderman today announced a $10 million settlement of a lawsuit filed against the auditing firm Ernst & Young LLP (“Ernst & Young”) over its involvement in a financial statement fraud at the now-defunct investment bank, Lehman Brothers Holdings, Inc. That money will be distributed as restitution to investors in Lehman securities, along with some $99 million being paid by Ernst & Young to settle a private federal class action that relied in part on facts uncovered by the Attorney General’s investigation. No other law enforcement authority has brought an enforcement action in connection with the 2008 collapse of Lehman. Moreover, today’s settlement resolves the first lawsuit brought against an auditor of a public company under New York’s securities laws. The case also resulted in an important decision by the Appellate Division’s First Department, which confirmed the Attorney General’s power to obtain disgorgement of professional fees received by a firm, in this case Ernst and Young’s fees.
Swiss Biotech Report 2015 Published - SIX Swiss Exchange Interviews Experts On Current Biotech Environment

Date 15/04/2015

This year's Swiss Biotech Report[PDF] highlights the outstanding positioning of the entire value chain of the Swiss biotech industry within the international life sciences ecosystem. Success, innovation, research and financial growth can only be driven in cooperation with international stakeholders. SIX Swiss Exchange also plays a vital role in this respect, and is once again represented by an article in the report. The new report was presented at this year's Swiss Biotech Day, the leading Swiss biotechnology conference.
BATS Successfully Migrates U.S. Options Exchange To NY5 Data Center - 100% Of Customers Participate In Migration; Market Share Finished At 9.2% Tuesday

Date 15/04/2015

BATS Global Markets (BATS), a leading operator of exchanges and services for financial markets globally, reported the successful and complete migration of the BATS Options market to the Equinix NY5 data center in Secaucus, N.J., on Monday, April 13.
Van Eck Global Lists First Market Vectors UCITS ETFs In Europe On The Irish Stock Exchange

Date 15/04/2015

Van Eck Global Investments Ltd., a subsidiary of Van Eck Global, one of the largest provider of exchange-traded funds (ETFs) in the U.S. and the sponsor of Market Vectors ETFs, has listed its first Market Vectors UCITS ETFs in Europe on the ISE.
SEC Staff And FINRA Issue Report On National Senior Investor Initiative

Date 15/04/2015

With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today issued a report to help broker-dealers assess, craft, or refine their policies and procedures for investors as they prepare for and enter into retirement.