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CUSIP Request Volume Reverses Course, Signals Upswing In New Corporate And Muni Bond Issuance - Tax Reform Proposals Spur End-Of-Year Surge In Muni Volume

Date 13/12/2017

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for November 2017. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity, found across-the-board increases in CUSIP request volume for corporate and municipal debt this month. This is suggestive of an increased pace of new security issuance in the final weeks of 2017 and into the new year.
Brown Wins CalPERS Board Seat In Runoff - Joins Miller On Board - New Members' Four-Year Terms Begin January 16, 2018

Date 13/12/2017

Margaret Brown was declared the unofficial winner today of the runoff election for a Member-at-Large seat on the CalPERS Board of Administration.
FINRA And Georgetown University’s McDonough School Of Business Announce Partnership To Deliver Certified Regulatory And Compliance Professional Program

Date 13/12/2017

The Financial Industry Regulatory Authority (FINRA) and Georgetown University’s McDonough School of Business today announced a partnership to deliver the FINRA Institute at Georgetown Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program in Washington, DC.
NYSE Group Consolidated Short Interest Report

Date 12/12/2017

NYSE today reported short interest as of the close of business on the settlement date of November 30, 2017.
Statement on Appointment Of New PCAOB Board Members, SEC Chairman Jay Clayton, Dec. 12, 2017

Date 12/12/2017

As was announced earlier today, the Commission has appointed a full slate of five new members, including a new Chairman, to the Public Company Accounting Oversight Board (“PCAOB”). I am gratified that the Commission has taken action on this important matter. As I stated in August when we began the search process for new PCAOB Board members, the PCAOB has been instrumental in improving the quality and reliability of public company audits for the protection of investors. Audited financial statements are at the heart of the SEC’s disclosure-based regulatory regime: a company’s financial statements provide investors with a wealth of material information, but the independent audit gives investors confidence that those statements can be trusted. The PCAOB is thus a critical part of the oversight of our local, national, and international capital markets.

CFTC’s Technology Advisory Committee To Meet On January 23, 2018

Date 12/12/2017

The Commodity Futures Trading Commission’s (CFTC) Technology Advisory Committee (TAC) will hold a public meeting on January 23, 2018 at CFTC’s Washington, DC, headquarters.
SEC Appoints New Chairman And Board Members To PCAOB

Date 12/12/2017

The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown, Kathleen M. Hamm, James G. Kaiser, and Duane M. DesParte as Board members of the Public Company Accounting Oversight Board (PCAOB).
Canadian Regulators Sign An Agreement With The Australian Securities And Investments Commission

Date 12/12/2017

The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Québec and Saskatchewan (participating jurisdictions) today announced a co-operation agreement with the Australian Securities and Investments Commission (ASIC). This agreement will allow the participating jurisdictions and the ASIC to exchange information on fintech trends and development, and efficiently refer innovative businesses seeking to enter the others’ markets.
Market Assessment: Sell-Side Connectivity Results From TABB Group

Date 12/12/2017

TABB Group recently interviewed 23 senior trading executives from Tier 1 and Tier 2 sell-side firms, as well as five technology vendors, to better understand the dynamics behind the global equities trade execution and trading connectivity businesses. These businesses feature a number of different components, many of which are in flux because of three major drivers: (1) regulation/MiFID II, (2) low volumes and volatility, and (3) changing technology. TABB Group’s latest research note, “Market Assessment: Sell-Side Connectivity Results,” contains the high-level results of our outreach and includes an analysis of market drivers, trends and the voice of the market.
Cboe Welcomes New Pacer Fund To ETF Marketplace

Date 12/12/2017

Cboe Global Markets, Inc. (Cboe: CBOE | Nasdaq: CBOE), one of the world’s largest exchange holding companies, today welcomed a new Pacer fund to the Cboe ETF Marketplace.