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  • Remarks Before The Institute Of International Bankers, Annual Washington Conference - CFTC Commissioner Jill E. Sommers

    Date 07/03/2011

    Thank you for inviting me here today to discuss the new regulatory landscape for swaps transactions under the Dodd-Frank Wall Street Reform and Consumer Protection Act. It seems your annual Washington conference could not have come at a better time to hear from legislators and regulators on the implementation of Dodd Frank. To say that the Act presents a large number of complex issues for market participants and regulators is an understatement. At my last count, the Commission had published 55 proposed rules, notices, or other requests seeking public comment on Dodd-Frank related issues. Other important items on our agenda, including proposed rules setting capital and margin requirements for swap dealers (SDs) and major swap participants (MSPs), and a joint proposal with the Securities and Exchange Commission (SEC) defining swaps and security-based swaps, remain in the queue. Given our limited time this afternoon, I will focus on just a few of the issues that I believe are of particular interest to this organization.

  • Nomura Establishes CEO/COO Office, Announces New Management Appointments

    Date 07/03/2011

    Nomura Holdings, Inc. today announced the establishment of a CEO/COO office and a number of new management appointments aimed at further accelerating the firm’s ongoing globalization and enhancing cross-regional collaboration. All organizational changes and management appointments are effective April 1, 2011, subject to the necessary regulatory approvals.

  • STOXX Announces New Composition Of Sustainability, Select Dividend, Style And Grand Prix Indices - Results Of The Review To Be Effective On March 21, 2011

    Date 07/03/2011

    STOXX Limited, the market-moving provider of innovative, substantial and global index concepts, today announced the results of the annual review of the STOXX Select Dividend Index series and the STOXX Global Grand Prix Index; as well as the result of the semi-annual review of the STOXX TMI Growth and STOXX TMI Value indices, its respective large, mid- and small sub-indices and the respective indices for the euro zone. Furthermore, the results of an extraordinary review of the STOXX Sustainability Indices are being announced as Bank Sarasin & Co. Ltd. took over the research and analysis for the indices earlier this year. All changes will be effective on March 21, 2011.

  • Remarks By FINRA Chairman And CEO Rick Ketchum At The FINRA Fixed Income Conference

    Date 07/03/2011

    An audio podcast of this speech is available for download (MP3 44 MB – 36 min. 49 sec.).

  • SEC Adds New Charges Against Connecticut-Based Hedge Fund Manager In Ponzi Scheme

    Date 07/03/2011

    The Securities and Exchange Commission today amended its complaint against a Stamford, Conn.-based investment adviser and its principal, Francisco Illarramendi, to additionally charge them with engaging in a multi-year Ponzi scheme involving hundreds of millions of dollars.