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  • Maybank Kim Eng Securities Pte. Ltd. Is Registered On The Lead Managing Underwriter List Of TOKYO PRO-BOND Market

    Date 30/04/2014

    Today, Tokyo Stock Exchange registered Maybank Kim Eng Securities Pte. Ltd. on the Lead Managing Underwriter List of the professional-oriented bond market, i.e. TOKYO PRO-BOND Market. According to this time’s registration, the number of securities companies on the list is 35 as of April 30, 2014.

  • SIFMA Statement On House Passage Of H.R. 4167, Which Adjusts The Volcker Rule To Prevent Disruptions In CLO Market

    Date 30/04/2014

    SIFMA today released the following statement from Kenneth E. Bentsen, Jr., president and CEO, on the passage of H.R. 4167, the‎ Restoring Proven Financing for American Employers Act  :

    "We applaud the House for passing H.R. 4167, the‎ Restoring Proven Financing for American Employers Act,  and thank Rep. Barr and Ranking Member Maloney for their bipartisan leadership on this bill.   The Fed's recently-announced guidance is far too limited in scope and fails to remediate the negative impact of the Volcker Rule on CLOs. The Barr bill is a more comprehensive approach that makes the Volcker Rule workable while minimizing unnecessary disruptions to the market.  This targeted congressional fix will help diminish the unnecessary losses that will be caused by the Fed's approach and help keep capital flowing to the Main Street businesses that rely on CLOs for credit."

  • Statement On The Effect Of The Recent Court Of Appeals Decision On The Conflict Minerals Rule, Keith F. Higgins Director, SEC Division Of Corporation Finance

    Date 30/04/2014

    On April 14, 2014, the United States Court of Appeals for the District of Columbia Circuit issued a decision in National Association of Manufacturers, et al. v. SEC, et al., No. 13-5252 (D.C. Cir. April 14, 2014). That case involved a challenge to Exchange Act Rule 13p-1 and Form SD. Rule 13p-1 and Form SD were adopted pursuant to Exchange Act Section 13(p), which was added by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Court of Appeals rejected all of the challenges to the rule based on the Administrative Procedure Act and the Securities Exchange Act of 1934. The Court, however, concluded that Section 13(p)(1) and Rule 13p-1 “violate the First Amendment to the extent the statute and rule require regulated entities to report to the Commission and to state on their website that any of their products have ‘not been found to be “DRC conflict free.”’” In so concluding, the Court specifically noted that there was no “First Amendment objection to any other aspect of the conflict minerals report or required disclosures.” In an order issued concurrently with the decision, the Court of Appeals withheld the issuance of its mandate until seven days after disposition of any timely petition for rehearing or petition for rehearing en banc. As a result, the earliest date on which the Court’s mandate is likely to issue is June 5, 2014. Under Rule 13p-1, the first reports are due to be filed on June 2, 2014.

  • CBOE Holdings Declares Second Quarter 2014 Dividend

    Date 30/04/2014

    CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that its Board of Directors has declared a quarterly cash dividend of$0.18 per share of common stock payable on June 20, 2014 to the unrestricted common stockholders of record on May 30, 2014.

  • Statement On WKSI Waivers, SEC Commissioner Daniel M. Gallagher

    Date 29/04/2014

    In 2005, the Commission adopted a package of new rules referred to as “Securities Offering Reform”—an all-too-rare example of the Commission taking a major action of its own volition to facilitate capital formation.  The release created a new category of issuer—the Well-Known Seasoned Issuer, or WKSI—and granted to WKSIs enhanced flexibility in accessing the capital markets.  WKSIs are defined to include the largest, most widely-followed issuers.  But certain issuers that would otherwise be WKSIs are excluded as “ineligible” under certain conditions (e.g., a criminal conviction).  The Commission can waive ineligible issuer status if it determines that it is not necessary under the circumstances that an issuer be considered ineligible.  This authority to grant WKSI waivers has been delegated to the Division of Corporation Finance.

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