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  • 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. 

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