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Welcoming Remarks At The SEC 24th Annual International Institute For Securities Market Development, SEC Commissioner Michael S. Piwowar, Washington, DC, April 7, 2014

Date 07/04/2014

Thank you, Paul [Leder], for that kind introduction, and I want to welcome you back to the Commission. Paul previously worked at the Commission for more than a decade from 1987 to 1999 and now has been with the Commission as Director of the Office of International Affairs for almost two months. I have enjoyed working with you and look forward to continuing to work with you in the international arena to promote investor protection, cross-border securities transactions, and fair, efficient and transparent markets. I also want to thank the Office of International Affairs staff who worked so hard to organize this two-week training initiative and all of the speakers, moderators, and panelists who have generously invested much time and effort in making this program so worthwhile.
Capital Market Services, LLC Ordered To Pay $275,000 Penalty To Settle CFTC Charges Of Violating Minimum Financial Requirement Rules

Date 07/04/2014

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges that, between March 2009 and October 2012, Capital Market Services, LLC(CMS), a CFTC-registered Futures Commission Merchant (FCM) and former Retail Foreign Exchange Dealer (RFED) headquartered in New York, New York, failed to comply with minimum financial requirements for FCMs and RFEDs. The CFTC Order requires CMS to pay a $275,000 civil monetary penalty and to cease and desist from violating the Commodity Exchange Act and CFTC Regulations, as charged.
NASDAQ OMX March 2014 Volumes, 1Q14 Est. Revenue Capture

Date 07/04/2014

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for March 2014, and quarterly volumes and estimated revenue capture for the quarter ended March 31, 2014, on its investor relations website.
CFTC Seeks Public Comment On Request From ICE Clear EuropeFfor Order Permitting Portfolio Margining Of Futures And Foreign Futures Contracts

Date 07/04/2014

The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order pursuant to Section 4d(a) of the Commodity Exchange Act (Act).
STOXX Updates Rules On Country Classification

Date 07/04/2014

STOXX Limited, a leading provider of innovative, tradable and global index concepts, today announced an update of its country classification rules. The announcement follows a meeting of the STOXX Advisory Board. The updated rulebook is introduced with immediate effect.

Federal Reserve Board Will Give Banking Entities Two Additional One-Year Extensions To Conform Their Ownership Interests In And Sponsorship Of Certain Collateralized Loan Obligations Covered By The Volcker Rule

Date 07/04/2014

The Federal Reserve Board announced today that it intends to exercise its authority to give banking entities two additional one-year extensions to conform their ownership interests in and sponsorship of certain collateralized loan obligations (CLOs) covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly referred to as the Volcker rule. CLOs are securitization vehicles backed predominantly by commercial loans.
CFTC Staff Issues An Extension Of Time-Limited No-Action Relief To Futures Commission Merchants (FCMs)

Date 07/04/2014

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an extension of time-limited no-action relief to FCMs. The extension of no-action relief will expire on June 30, 2014.
Canadian Securities Regulators Advance Mutual Fund Fees Review With Request For Research Proposals

Date 07/04/2014

The Canadian Securities Administrators (CSA) announced today a request for proposals (RFP) to conduct research on Canada’s mutual fund fee structure. This marks an important step in advancing a policy decision on mutual fund fees, further to the CSA’s examination of the mutual fund fee structure in Canada.
CFTC Releases Rule Enforcement Review Of OneChicago, LLC

Date 07/04/2014

The Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (Division) issued the results of a rule enforcement review of OneChicago, LLC (OneChicago) today. The Division found specific areas where OneChicago should improve its trade practice program.
SIFMA AMG Comments On Assessment Methodologies For Identifying NBNI G-SIFIs And Provides Data On Separate Accounts Ask Regulators To Shift Focus From Investment Funds To Fund Activities - Provide Results Of SIFMA AMG Survey On Risk Profile Of Separate Accounts

Date 07/04/2014

SIFMA’s Asset Management Group (AMG) on Friday submitted comments on the consultative document entitled “Assessment Methodologies for Identifying Non-Bank Non-Insurer Global Systemically Important Financial Institutions” (NBNI G-SIFIs) (the “Consultative Document”) published by the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO). SIFMA AMG appreciates the FSB’s and IOSCO’s efforts to understand the asset management industry’s perspective as they attempt to create an assessment methodology for NBNI G-SIFIs.