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  • Completing The Journey: Women As Directors Of Public Companies, SEC, Chair Mary Jo White, Sept. 16, 2014

    Date 16/09/2014

    I. Opening

    Good morning and thank you, Susan Ness, for that kind introduction.    The work that SAIS does to increase the presence of women in corporate boardrooms is critically important and it is my honor to address you today.

  • CFTC Revokes Registrations Of S.A.C. Capital Advisors, L.P. And S.A.C. Capital Advisors, LLC Based On Criminal Action

    Date 16/09/2014

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a Notice of Intent to Revoke the Registrations (Notice) ofS.A.C. Capital Advisors, LLC (SAC LLC), a Delaware Limited Liability Company, and S.A.C. Capital Advisors, L.P. (SAC LP), a Delaware Limited Partnership. The CFTC simultaneously issued an Opinion and Order (Order) accepting the offer of settlement from SAC LLC and SAC LP and settling the action. The Order immediately revoked SAC LLC’s registrations with the CFTC as a Commodity Trading Advisor (CTA) and Commodity Pool Operator (CPA). The Order also revoked effective December 31, 2015, SAC LP’s registrations as a CTA and CPO. Consistent with a previously issued Order of the Securities and Exchange Commission, SAC LP’s activities as a CTA and CPO are immediately restricted under the Order to certain “side pocket” investments that are not available for immediate redemption. Additionally, pursuant to the Order, an affiliate of SAC LP and SAC LLC, S.A.C. Capital Management, LLC, will immediately cease engaging in any activity requiring registration as a CPO or CTA.

  • SEC Obtains Asset Freeze Against Company In Turks And Caicos Islands Behind South Florida-Based Ponzi Scheme

    Date 16/09/2014

    The Securities and Exchange Commission today announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South Florida-based Ponzi scheme.

  • CBOE And C2 Plan To List Options On Alibaba Group Holding Limited (BABA)

    Date 16/09/2014

    CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that the Chicago Board Options Exchange (CBOE) and C2 Options Exchange (C2) plan to list options on Alibaba Group Holding Limited (ticker symbol: BABA) beginning on Monday, September 29, 2014, contingent on BABA  meeting new options listing criteria.

  • John J. Brennan, FINRA Board Of Governors, Lead Director - FINRA/University Of Maryland Center For Financial Policy Joint Conference On Market Fragmentation, Fragility And Fees, Washington D.C., September 16, 2014

    Date 16/09/2014

    Thank you, Jonathan, for that overly kind welcome.

    It's always a treat to be at a gathering like this. One of the fine traditions of the investment business is how the cumulative effect of our work—the work of academics, regulators, and practitioners—has always been the driving force for evolution in market efficiency, effectiveness, and security. A conference like this is part of how that happens. You're here to discuss topics at the forefront of pressing issues affecting market integrity and investor confidence.

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