News Centre

Peter Tierney Joins DTCC As Regional Head Of Asia, DTCC Deriv/SERV

Date 22/04/2013

The Depository Trust & Clearing Corporation (DTCC) today announced the appointment of Peter Tierney as Regional Head of Asia, DTCC Deriv/SERV LLC.

SIFMA Statement On Marketplace Fairness Act

Date 22/04/2013

SIFMA today released the following statement from Acting President and CEO Kenneth E. Bentsen, Jr. ahead of Senate consideration of the Marketplace Fairness Act.

SEC Announces Agenda For May 1 Meeting Of Advisory Committee On Small And Emerging Companies

Date 22/04/2013

The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies on Wednesday, May 1.

Statement By US Treasury Secretary Jacob J. Lew At The International Monetary Financial Committee (IMFC) Meeting

Date 22/04/2013

This is not a time for complacency. Tail risks have receded recently, but global growth remains weak, and unemployment is still too high. Strengthening global demand is imperative and must be at the top of our agenda. Much more needs to be done to promote effective global rebalancing, which requires stronger demand in surplus countries and continued progress toward greater exchange rate flexibility, as well as continued efforts in deficit countries to raise national saving.

Susan Axelrod Named FINRA's Executive Vice President Of Regulatory Operations

Date 22/04/2013

The Financial Industry Regulatory Authority (FINRA) announced today that Susan Axelrod will become FINRA's Executive Vice President of Regulatory Operations. In this role, Axelrod will oversee Enforcement, the Office of Fraud Detection and Market Intelligence and Member Regulation (Sales Practice, Risk Oversight and Operational Regulation and Shared Services). Axelrod previously was the head of FINRA's Member Regulation Sales Practice area. Mike Rufino, Chief Operating Officer of Member Regulation – Sales Practice, will assume the role of acting head of the Sales Practice group.

Financial Stability Oversight Council (FSOC) To Meet April 25

Date 22/04/2013

On Thursday, April 25, 2013, Secretary Jacob J. Lew will preside over an open session of the Financial Stability Oversight Council. The Council will vote on its annual report, which will describe the activities of the Council, outline significant financial market and regulatory developments, analyze potential emerging threats to financial stability, and make relevant recommendations.

Banque De France And The Autorité Des Marchés Financiers Draw Attention To An International Consultation On Authorities’ Access To Trade Repositaries Data

Date 22/04/2013

The Committee on Payment and Settlement Systems (CPSS) of the Bank for International Settlements and the International Organization of Securities Commissions (IOSCO) have published on 11th April 2013 for public comment a consultative report entitled Authorities’ access to trade repository data. Authorities are defined for the need of this report as e.g. market regulators, central banks, prudential supervisors and resolutions authorities, as well as official international financial institutions.

SEC Charges Former Executive With Insider Trading On Nonpublic Information Obtained As Part Of Professional Group

Date 22/04/2013

The Securities and Exchange Commission today charged a former corporate executive living in South Florida with insider trading based on confidential information that he learned as part of a professional organization.

CME Group Holds Moment Of Silence For Those Affected By Attacks In Boston, MA

Date 22/04/2013

Institutional Investors: Power And Responsibility, Speech By SEC Commissioner Luis A. Aguilar - Georgia State University — J. Mack Robinson College Of Business Center For The Economic Analysis Of Risk (CEAR) — Department Of Finance CEAR Workshop — Institutional Investors: Control, Liquidity, And Systemic Risks The Commerce Club, Atlanta, GA

Date 22/04/2013

Good evening.  Thank you for that kind introduction.  I am glad to be here at Georgia State University and the J. Mack College of Business.  I would like to thank the Center for the Economic Analysis of Risk (CEAR) and the Department of Finance for sponsoring this workshop.  Before I begin, let me issue the standard disclaimer that the views I express this evening are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (SEC), my fellow Commissioners, or members of the staff.