News Centre

Remarks Before The Consumer Federation Of America’s 27th Annual Financial Services Conference, SEC Commissioner Kara M. Stein, Washington, D.C., Dec. 4, 2014

Date 04/12/2014

Thank you, Barbara [Roper], for that kind introduction. 

[As written] I am absolutely delighted to be here with all of you today.  What an honor it is to be among such passionate advocates for consumers.  Through your leadership and advocacy, American consumers have a strong, robust voice that helps ensure a balanced debate on issues that are important to them.  And through Consumer Federation of America’s work on the America Saves campaign, consumers have access to tools that will help them save money, reduce debt, and build wealth.  Your work is vitally important to consumers, and particularly to consumers as investors.  And investors are what we are all about at the SEC and the focus of everything we do.  

U.S. Assistant Attorney General Leslie R. Caldwell Speaks At Cybercrime 2020 Symposium, Washington, DC, United States ~ Thursday, December 4, 2014

Date 04/12/2014

Good morning and welcome to the Criminal Division’s inaugural symposium on cybercrime.  Before we start, I would like to thank Dean Treanor and the Georgetown Law Center for being such gracious partners in planning and holding this event.  

SIFMA Issues 2015 Municipal Bond Issuance Survey - Forecast Shows $357.5 Billion In Issuance For 2015

Date 04/12/2014

SIFMA today released its 2015 Municipal Bond Issuance Survey. Compiled from responses provided by large and regional municipal bond underwriters and dealers, the report forecasts what type of activity is expected in the municipal securities market in 2015. 

CBOE Launches Enhanced CBOE.Com Website - Website Offers Extensive Resources And Enhanced User Experience

Date 04/12/2014

The Chicago Board Options Exchange® (CBOE®) today announced it has released its newly enhanced CBOE.com website, featuring easier navigation and search capabilities, updated and revised educational content, and a responsive design that optimizes desktop, mobile phone and tablet viewing.

Remarks To The SEC Small Business Forum, SEC Commissioner Michael S. Piwowar

Date 04/12/2014

Thank you, Keith [Higgins], for that introduction.  And a special thank you to each of the audience participants here, for giving up your time and spending your money, to join us in Washington, D.C.  It is so important to hear your voices.  Perhaps, in the future, we might consider alternating the venue of this forum with locations elsewhere in the country, so we can make it as broadly accessible as possible.

Martin Andersson Stays On As Director General Finansinspektionen - Swedish Financial Supervisory Authority

Date 04/12/2014

Today, the Government decided to renew its confidence in Martin Andersson, who will stay on as Director General of Finansinspektionen (FI).

Novus Appoints John Trammell As Managing Director In New York - Trammell Will Assist Novus' Leadership Team With Wide-Ranging Responsibilities

Date 04/12/2014

Novus, a New York-based portfolio analytics platform for investment managers and investors, announced today that John Trammell has joined the company as Managing Director in its New York office. An experienced hedge fund industry executive, John was recently the Co-Head of Global Asset Management at Cantor-Fitzgerald. Before that, he was the CEO of Cadogan Asset Management. In the wake of the 2008 financial crisis John negotiated with and was able to buy Cadogan Management away from BNP Paribas, which acquired certain divisions of Fortis. Before Cadogan, John was President of Investor Select Advisors, a Fund of Hedge Funds active throughout Asia. Prior to this, Trammell served as COO of Argonaut Capital, a global macro hedge fund run by David Gerstenhaber. He also served as a portfolio manager and trader for A. Gary Shilling & Co.

ICAP To Combine EBS And BrokerTec Businesses

Date 04/12/2014

ICAP plc (IAP.L), a leading markets operator and provider of post trade risk mitigation and information services, today announces that it will combine its electronic businesses EBS and BrokerTec.

SEC Charges Montana Man In Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company

Date 04/12/2014

The Securities and Exchange Commission today charged a penny stock promoter in Montana with orchestrating a fraudulent pump-and-dump scheme involving the stock of a Northern Virginia-based company that claims to be in the airport security business. 

Luxembourg Stock Exchange And Industrial And Commercial Bank Of China Sign Memorandum Of Understanding

Date 04/12/2014

The Luxembourg Stock Exchange (LuxSE) and the Industrial and Commercial Bank of China, Luxembourg branch, (ICBC) signed a memorandum of understanding  on 4 December 2014 at the occasion of the launching ceremony of ICBC as the RMB clearing bank for Luxembourg.