News Centre

SIFMA Statement On The National Cybersecurity And Critical Infrastructure Protection Act

Date 05/02/2014

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., president and CEO, after the House Committee on Homeland Security reported out H.R. 3696, the National Cybersecurity and Critical Infrastructure Protection Act of 2013: 

"Cybersecurity is increasingly a major threat to our financial system. SIFMA members are dedicating significant resources to protect the millions of Americans who use financial services every day and rely on the integrity of our markets. We commend the Committee for advancing this important legislation that could enhance how the government and private sector work together to mitigate cyber threats. A strong public-private partnership, complete with robust information sharing, is the most effective way to prevent and defend against cyber attacks."

CBOE Holdings Declares First Quarter 2014 Dividend

Date 05/02/2014

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 March 21, 2014, to stockholders of record at the close of business on February 28, 2014.

MGEX Breaks All-Time Open Interest Record

Date 05/02/2014

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), broke the all-time Exchange open interest record with79,442 open futures and options contracts after Tuesday’s trade date.

IOSCO Issues Report On Risks And Benefits Of Financial Return Crowd-Funding

Date 05/02/2014

The Research Department of the International Organization of Securities Commissions (IOSCO) today published a Staff Working Paper entitled Crowd-funding: An Infant Industry Growing Fast.

Testimony Of CFTC Acting Chairman Mark Wetjen Before The U.S. House Committee On Financial Services On The Volcker Rule Impact

Date 05/02/2014

Good morning Chairman Hensarling, Ranking Member Waters and members of the Committee. Thank you for inviting me to today’s hearing on Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), otherwise known as the Volcker Rule. I am honored to testify as Acting Chairman of the Commodity Futures Trading Commission (CFTC). I also am pleased to join my fellow regulators in testifying today.

FINRA Fines Brown Brothers Harriman A Record $8 Million For Substantial Anti-Money Laundering Compliance Failures - Highest Fine Levied By FINRA For AML-Related Violations - Former AML Compliance Officer Also Fined And Suspended

Date 05/02/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined New York-based Brown Brothers Harriman & Co. (BBH) $8 million for substantial anti-money laundering compliance failures including, among other related violations, its failure to have an adequate anti-money laundering program in place to monitor and detect suspicious penny stock transactions. BBH also failed to sufficiently investigate potentially suspicious penny stock activity brought to the firm's attention and did not fulfill its Suspicious Activity Report (SAR) filing requirements. In addition, BBH did not have an adequate supervisory system to prevent the distribution of unregistered securities. BBH's former Global AML Compliance Officer Harold Crawford was also fined $25,000 and suspended for one month.

CFTC Issues Order Of Registration For NZX Limited

Date 05/02/2014

The U.S. Commodity Futures Trading Commission (Commission or CFTC) issued NZX Limited (NZX) an Order of Registration to permit NZX to provide direct access, subject to the terms and conditions specified in the Order, to its identified members or other participants located in the U.S.

Non Jordanian Investment At The Amman Stock Exchange During January 2014

Date 05/02/2014

The total value of shares that were bought by non-Jordanian investors during January 2014 was JD37.7 million, representing 12.2% of the overall trading value, while the value of shares sold by them amounted to JD41.8 million. As a result, the net of non-Jordanian investment during January 2014 showed a decrease by JD4.1 million, compared with an increase by JD7.0 million during the same month of 2013.

OneChicago Holiday Notice – Washington’s Birthday 2014

Date 05/02/2014

OneChicago (OCX) will be closed on Monday, February 17, 2014 in observance of the upcoming Holiday, Washington’s Birthday, which is consistent with U.S. equity markets.  OneChicago will be open on Tuesday, February 18, 2014.

BME Presents The Book “Active Management Of Fixed Income Portfolios: A Practical Approach” Published As Part Of Its Estudios & Investigación Collection

Date 05/02/2014

BME presented yesterday the book "Active management of Fixed Income portfolios: a practical approach", published as part of his collection "Estudios & Investigación". The book is aimed at professionals in portfolio management but is also geared to a wider public interested in gaining insight into the theoretical and practical aspects of Fixed Income management.