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NZX To Launch Exchange Traded Options

Date 26/03/2015

NZX is pleased to announce that following approval by the Financial Markets Authority, NZX equity options are expected to launch on 24 April 2015.
NZX IPO Masterclass – Scales Listing Story

Date 25/03/2015

NZX hosted an IPO Masterclass in Christchurch yesterday.
Statement At Open Meeting on Reg A+ , SEC Commissioner Kara M. Stein, March 25, 2015

Date 25/03/2015

Today’s amendments to Regulation A are the next step in the Commission’s effort to respond to changes in our securities offering regulations required by the JOBS Act. While I would have preferred today’s amendments take a different approach to preemption, I support the rule today and I truly hope it will successfully provide new options for small and mid-sized offerings.
CFTC Announces Agenda For The Upcoming Public Meeting Of The Market Risk Advisory Committee

Date 25/03/2015

The U.S. Commodity Futures Trading Commission (CFTC or Commission) announced today the full agenda for the upcoming CFTC Market Risk Advisory Committee (MRAC) public meeting. The meeting will be held on Thursday, April 2, 2015 at the Commission’s headquarters in Washington, D.C. from 10:00 a.m. to 1:30 p.m. For more information regarding the meeting, view CFTC Press Release 7135-15.
Statement At Open Meeting on Reg A+ , SEC Commissioner Daniel M. Gallagher, March 25, 2015

Date 25/03/2015

Thank you, Chair White. Today I am delighted that the Commission is fulfilling its JOBS Act mandate to revitalize Regulation A, which has, for too long, been an underused way of raising capital, particularly as compared to its better-known cousin, Regulation D. We have an urgent need to ensure that our rules promote capital formation for small businesses, and I hope that public exempt offerings under Regulation A can take their place beside private exempt offerings under Regulation D and registered offerings as viable means of raising capital. Indeed, I’ve not been shy about my view that Title IV of the JOBS Act set the stage for us to do something revolutionary to encourage small business capital formation.

SIFMA AMG And IAA Demonstrate That The Asset Management Industry Does Not Present Systemic Risk, Urge Deference To SEC In Comments To FSOC

Date 25/03/2015

SIFMA’s Asset Management Group (SIFMA AMG), jointly with the Investment Adviser Association (IAA) (together, the “Associations”), today submitted a comment letter to the Financial Stability Oversight Council (FSOC) that clarifies important aspects of the asset management industry in response to FSOC’s request for information regarding whether asset management products and activities may pose potential systemic risks to the U.S. financial system– FSOC’s Notice Seeking Comment on Asset Management Products and Activities (the “Notice”).
Statement At Open Meeting On Adoption of Regulation A Amendments, SEC Commissioner Michael S. Piwowar, March 25, 2015

Date 25/03/2015

Thank you, Chair White. I am pleased that we are adopting amendments to Regulation A to implement Title IV of the Jumpstart Our Business Startups Act, or JOBS Act. Title IV was enacted to facilitate capital formation by small and emerging businesses. Today’s amendments were rooted in a bipartisan bill, championed by Senator Pat Toomey of Pennsylvania and Senator Jon Tester of Montana. So it is quite appropriate — nearly three years after the President signed the JOBS Act into law on April 5, 2012 — for the bipartisan Commission to finally adopt the implementing regulations.
CFTC Swaps Report Update

Date 25/03/2015

CFTC's Weekly Swaps Report has been updated, and is now available.
FINRA Sanctions First New York Securities L.L.C. $916,000 For Illegal Short Selling In Advance Of 14 Public Offerings - Firm Fined $400,000 And Ordered To Pay More Than $500,000 In Disgorgement; Prohibited From Participating In Secondary Offerings For Six Months

Date 25/03/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned First New York Securities L.L.C. $916,000 for short selling ahead of participating in 14 public offerings of securities, in violation of Rule 105 of Regulation M, and for related supervisory violations. FINRA ordered First New York to pay disgorgement of more than $516,000, plus interest, and fined the firm $400,000. Additionally, the firm is prohibited from participating in secondary or follow-on offerings for a period of six months.
SEC Proposes Rule To Require Broker-Dealers Active In Off-Exchange Market To Become Members Of National Securities Association - Amendments Would Enhance Regulatory Oversight Of Active Proprietary Trading Firms

Date 25/03/2015

The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of a national securities association. The amendments would enhance regulatory oversight of active proprietary trading firms, such as high frequency traders.