News Centre

SIFMA Statement On Confirmation Of Nathan Sheets As Undersecretary Of The Treasury For International Affairs

Date 19/09/2014

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the Senate confirmation of Nathan Sheets as Undersecretary of the Treasury for International Affairs:

"SIFMA congratulates Nathan Sheets on his confirmation as Undersecretary of the Treasury for International Affairs. Nathan is well-respected for his experience in the international policy arena, which along with his economic and financial experience will be a tremendous asset to the U.S. Treasury. We look forward to working with him on international policy issues of importance to the financial services industry, such as cross-border coordination, TTIP, China BIT, and other priorities."

CalPERS Receives Citigroup Settlement Payment Totaling $88 Million

Date 19/09/2014

The California Public Employees' Retirement System (CalPERS) has $88 million more in its investment portfolio thanks to a payment received this week from the California Attorney General's Office as part of a global settlement reached by the U.S. Department of Justice, FDIC, and various state attorney generals with Citigroup in July.

SEC 2014-2018 Strategic Plan

Date 18/09/2014

This document presents the U.S. Securities and Exchange Commission’s StrategicPlan prepared in accordance with the Government Performance and Results Act Modernization Act of 2010. The plan sets out the Commission’s mission, vision,values, and strategic goals for fiscal years 2014 through 2018. Furthermore, itdiscusses the SEC’s environment, details the strategic objectives the Commission seeks to achieve, presents the strategies and initiatives that will be undertakento accomplish those objectives, and lists the performance goals that will be usedto gauge the agency’s progress.

TSX Markets Top 20 Largest Consolidated Short Position Report - September 15, 2014

Date 18/09/2014

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending September 15, 2014.

Jim Burns, Deputy Director Of Trading And Markets, To Leave SEC

Date 18/09/2014

The Securities and Exchange Commission today announced that James R. Burns, Deputy Director in the Division of Trading and Markets, will leave the agency in October.

FIBRA Macquarie Completes Successful Primary Global Offer Of Real Estate Investment Trust Stock Certificates - For A Second Time, FIBRA Macquarie Turned To The Securities Market To Reaffirm Its Growth Trend

Date 18/09/2014

Today, Macquarie México Real Estate Management, S.A. de C.V. completed the successful Primary Global Offer of Real Estate Investment Trust Stock Certificates of the Macquarie Investment and Real Estate Trust (FIBRA Macquarie), with ticker code "FIBRAMQ 12", for a total of 207´000,000 certificates.

SEC Charges Eight For Roles In Widespread Pump-And-Dump Scheme Involving California-Based Microcap Company

Date 18/09/2014

The Securities and Exchange Commission today charged a ring of eight individuals for their roles in an alleged pump-and-dump scheme involving a penny stock company based in California that has repeatedly changed its name and purported line of business over the past several years.

FINRA Marks 75th Anniversary Of Protecting Investors

Date 18/09/2014

The Financial Industry Regulatory Authority (FINRA) marked the 75th anniversary of the creation of the National Association of Securities Dealers (NASD) in 1939. In 1938, the Maloney Act amended the Securities Exchange Act of 1934 to provide for the creation of a regulatory entity that would create and enforce securities rules and promote just and equitable principles of trade. NASD's mandate was "to protect investors and the public interest, and to remove the impediments to and perfect the mechanism of a free and open market." In 2007, NASD consolidated with the member regulation, enforcement and arbitration functions of the NYSE to become FINRA.

CME Group Announces Record Volume Day In Eurodollar Futures - All-Time High Of 6.88 Million Eurodollar Futures Contracts Traded Following Federal Reserve Meeting

Date 18/09/2014

CME Group, the world's leading and most diverse derivatives marketplace, announced a Eurodollar futures record volume day with 6,880,382 contracts traded on Sept. 17, 2014, exceeding the previous record of 6,039,753 contracts, which occurred on March 19, 2014.

SEC Charges Tacoma, Wash.-Area Firm For Undisclosed Principal Transactions And Misleading Performance Advertisements

Date 18/09/2014

The Securities and Exchange Commission today charged an investment advisory firm located outside Tacoma, Wash., with engaging in hundreds of principal transactions through its affiliated broker-dealer without informing clients or obtaining their consent.