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  • SEC Proposes Whistleblower Rule Amendments

    Date 28/06/2018

    The Securities and Exchange Commission today voted to propose amendments to the rules governing its whistleblower program.  The whistleblower program was established in 2010 to incentivize individuals to report high-quality tips to the Commission and help the agency detect wrongdoing and better protect investors and the marketplace.

  • Firms Elect Securities America Financial Corporation’s Jim Nagengast To FINRA Board Of Governors - Nagengast Elected To Fill One Of Three Large-Firm Seats On FINRA Board

    Date 28/06/2018

    FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to elect one Large-Firm Governor to the FINRA Board of Governors. Jim Nagengast, Chief Executive Officer (CEO) of Securities America Financial Corporation Inc. and President of Securities America Inc., was elected as a Large-Firm Governor. 

  • Statement Of SEC Commissioner Piwowar At Open Meeting Regarding Amendments To Smaller Reporting Company Definition,

    Date 28/06/2018

    Today’s meeting is going to be a long one, so I will keep my remarks brief.  I support the adoption of this rulemaking.  But, I would be remiss if I did not express my disappointment about what we could have accomplished today had we truly focused our efforts on capital formation.

  • SIFMA Submits Testimony Raising Concerns With Unpaid Arbitration Legislation (S. 2499)

    Date 28/06/2018

    Today, SIFMA submitted written testimony to the Senate Committee on Banking, Housing, and Urban Affairs detailing concerns with S. 2499, which would require the Financial Industry Regulatory Authority (FINRA) to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by FINRA.  The testimony was submitted in conjunction with today’s hearing entitled ‘Legislative Proposals to Examine Corporate Governance.’

  • SEC Proposes New Approval Process For Certain Exchange-Traded Funds

    Date 28/06/2018

    The Securities and Exchange Commission today voted to propose a new rule and form amendments intended to modernize the regulatory framework for exchange-traded funds (ETFs), by establishing a clear and consistent framework for the vast majority of ETFs operating today.  ETFs that satisfy certain conditions would be able to operate within the scope of the Investment Company Act of 1940 and to come to market without applying for individual exemptive orders.  The proposal would therefore facilitate greater competition and innovation in the ETF marketplace, leading to more choice for investors.

  • Nodal Exchange To Provide CQG’s Trading Platform As Trading Screen For Nodal Contracts

    Date 28/06/2018

    Nodal Exchange LLC and CQG announced today that Nodal Exchange has contracted with CQG to supply the exchange’s trading participants with CQG’s trading solutions.

  • Statement At Open Meeting On Exchange-Traded Funds (Proposed Rule), SEC Commissioner Michael S. Piwowar

    Date 28/06/2018

    I am pleased to support this proposed rule, governing one of the most popular investment vehicles and trading tools in the equity and fixed income markets today: exchange-traded funds (“ETFs”). Twenty-six years ago, the Commission began granting exemptions from certain rules in the Investment Company Act of 1940, which would allow ETFs to operate. Since that time, demand for ETFs has sky-rocketed as investors seized on these products as a way to gain exposure in their portfolios to a wide array of asset classes, geographies, and industry sectors. Today, it is staggering to think that this industry — which has ballooned to $3.4 trillion in total net assets — operates on a series of exemptive orders granted by the SEC staff or, in cases of novel products, the Commission. Each of these has its own particular requirements and conditions, with similar requirements phrased differently over time. The time has certainly come for the Commission to provide the ETF industry with regulatory certainty and consistency befitting its role in our markets.

  • EBA Does Not Object To The Swedish FSA Proposed Measures To Address Macroprudential Risk

    Date 28/06/2018

    The European Banking Authority (EBA) published today an Opinion following the notification by Finansinspektionen, the Swedish Financial Supervisory Authority (FSA) of its intention to change the method it currently uses to apply a risk weight floor for Swedish mortgages through Pillar 2 by replacing it with a requirement within the framework of Article 458 of the Capital Requirements Regulation (CRR). The new proposed measure is primarily driven by structural changes in the Swedish banking market and aims at enhancing the resilience of Swedish banks to potential severe downward corrections in residential real estate markets. Based on the evidence submitted, the EBA does not object to the adoption of the proposed measure, which the Swedish FSA intends to apply to credit institutions that have adopted the Internal Rating-Based (IRB) Approach. 

  • Borsa İstanbul: BIST-KYD Indices Ground Rules Is Revised

    Date 28/06/2018

    Borsa İstanbul Executive Committee has decided to revise BIST-KYD Indices Ground Rules in order to align improvements made in the index calculation system, where BIST-KYD Indices will start to be calculated thereafter, due to the Bistech Phase 2+ transition with the BIST-KYD Indices Ground Rules effective from July 2, 2018.

  • Three Malta blockchain Bills Approved At Second Reading - Malta Blockchain Bills

    Date 28/06/2018

    The Maltese Parliament has been the first to unanimously approve three blockchain bills. The unanimous approval was announced by Hon. Parliamentary Secretary for Financial Services, Digital Economy and Innovation Silvio Schembri on the 26th June. It has also been held that Mr Stephen McCarthy has duly been appointed the CEO of the newly established Malta Digital Innovation Authority. This approval has been recognised as a worldwide achievement that will allow Malta to achieve its goal in becoming a blockchain hub. Hon. Silvio Schembri noted this crucial development in his speech at the Malta Institute of Management Conference called ‘Cryptocurrency Considerations for Management’.

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