News Centre

Statement On Whistleblower Program 2019 Annual Report To Congress, SEC Chairman Jay Clayton, Nov. 15, 2019

Date 15/11/2019

Today, the SEC’s Office of the Whistleblower (OWB) issued its Whistleblower Program Fiscal Year (FY) 2019 Annual Report to Congress (Annual Report).  FY 2019 marks the eighth full year for OWB.  Our whistleblower program has made substantial progress since its inception and has proven to be an invaluable component of our enforcement efforts.  From the receipt of a tip, complaint or referral (TCR), to the opening of an enforcement matter, through resolution of that matter and, ultimately, a whistleblower award determination, we are continuing to move more efficiently and with greater effect.  This progress is due in large part to continued coordination among our Division of Enforcement, OWB, and other Divisions and Offices of the Commission.

Federal Reserve Board: Financial Stability Report

Date 15/11/2019

This report summarizes the Federal Reserve Board’s framework for assessing the resilience of the U.S. financial system and presents the Board’s current assessment. By publishing this report, the Board intends to promote public understanding and increase transparency and accountability for the Federal Reserve’s views on this topic.

SEC Awards Over $260,000 To Whistleblowers For Their Help In Spotting Securities Fraud

Date 15/11/2019

The Securities and Exchange Commission today announced an award to three individuals who jointly submitted a tip alerting the agency to a well-concealed fraud targeting retail investors.  The information led to a successful enforcement action.  The whistleblowers, who were themselves harmed investors, will collectively receive a payment of over $260,000 based on current collections.

Nigerian Stock Exchange Weekly Market Report For November 15th 2019

Date 15/11/2019

The market opened for four trading days this week as the Federal Government of Nigeria declaredMonday 11th November 2019 a Public Holiday to mark the Eid-Ul-Maulud celebrations.

CFTC To Hold An Open Commission Meeting On November 25

Date 15/11/2019

U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Monday, November 25, 2019, at 10:00 a.m. EST at its headquarters in Washington, DC to consider the following:

• Final Rules:  Amendments to Part 4:  Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
  • Amendments to Rules 4.7, 4.13, and 4.14 (Codification of Relief for Family Offices and Relief Related to the JOBS Act)
  • Amendments to Rules 4.5 and 4.27 (Updating Exclusions and Adding Reporting Relief)
• Proposed Rule: Amendments to Swap Clearing Requirement Exemptions under Part 50

Government Finance Officers Association (GFOA) Mini-Muni Conference Welcome Remarks, SEC Chairman Jay Clayton, Washington, D.C., Nov. 14, 2019

Date 15/11/2019

Thank you for that kind introduction.  I am pleased to kick off today’s GFOA Mini-Muni Conference.  You have an impressive list of panelists today, including the Commission’s own Rebecca Olsen, Director of our Office of Municipal Securities.  I hope that today’s discussions will be enlightening and productive.

New Single Stock Futures Contracts On Single Stocks (CCOLA, ENKAI, FROTO, MGROS, SASA, TRKCM, TSKB And ULKER) In BIST Stars Group 1 Has Been Started To Trade At Borsa Istanbul Derivatives Market As Of November 15, 2019

Date 15/11/2019

New Single Stock Futures contracts on single stocks (CCOLA, ENKAI, FROTO, MGROS, SASA, TRKCM, TSKB and ULKER) in BIST Stars Group 1 has been started to trade at Borsa Istanbul Derivatives Market as of November 15, 2019.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 15/11/2019

CCP NCC sets the following risk parameters on Securities market starting from November 22, 2019:

NeoXam Wins Best Solution In Regulatory Data Management

Date 15/11/2019

NeoXam has been awarded Best Solution in Regulatory Data Management in the 2nd Regulation Asia Awards for Excellence 2019 at a ceremony in Singapore on 13 November 2019. 

European Commission Launches Infringement Proceedings Against The UK Following Its Failure To Name A Candidate For EU Commissioner

Date 15/11/2019

As the Guardian of the Treaties, the European Commission has today sent a letter of formal notice to the United Kingdom for breaching its EU Treaty obligations by not suggesting a candidate for the post of EU Commissioner. The UK authorities have until Friday 22 November at the latest to provide their views. This short time period is justified by the fact that the next Commission must enter into office as soon as possible.