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SEC: Chairman Clayton Names Executive Staff

Date 31/08/2017

The Securities and Exchange Commission today announced that John Cook, Jeffrey Dinwoodie, Raquel Fox, Kristina Littman, Alan Cohen, Christopher Carofine, and Shelby Begany Telle have been named to the executive staff of Chairman Jay Clayton.
SEC Names Dalia Blass As Director Of The Division Of Investment Management

Date 31/08/2017

The Securities and Exchange Commission today announced that Dalia Blass has been named Director of the agency's Division of Investment Management.
SEC Names Jeffrey Harris As Director Of The Division Of Economic And Risk Analysis

Date 31/08/2017

The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris has been named Director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery who left the agency to return to teaching.
Preliminary Annual Report On U.S. Holdings Of Foreign Securities At Year-End 2016

Date 31/08/2017

Preliminary data from an annual survey of U.S. portfolio holdings of foreign securities at year-end 2016 were released today and posted on the Treasury web site at (https://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx). The final survey report, which will include additional detail as well as possible revisions to the data, will be released on October 31, 2017.
Ontario Securities Commission Announces Investment Funds Product Advisory Committee Members

Date 31/08/2017

The Ontario Securities Commission (OSC) announced today the members of the Investment Funds Products Advisory Committee (IFPAC) for the 2017-2019 term.

STOXX Changes Composition Of Blue-Chip Indices - Regular Annual Review To Be Effective On Sep. 18, 2017

Date 31/08/2017

STOXX Ltd., the operator of Deutsche Boerse Group’s index business, and a global provider of innovative and tradable index concepts, today announced the results of the regular annual review of the STOXX Blue-Chip Indices, among them the STOXX Europe 50, EURO STOXX 50 and STOXX Nordic 30 indices; as well as the results of the second semi-annual review of the STOXX Eastern Europe 50 Index. All changes will be effective with the open of European markets on Sep. 18, 2017.
FINRA Issues Alert Warning Investors Of Stock Fraud Following Hurricane Harvey

Date 31/08/2017

FINRA issued an Investor Alert today warning investors to beware of potential scams touting stocks and other investments promising huge financial gains in the wake of Hurricane Harvey.
SEC And NYU to Host Forum On Exchange-Traded Products

Date 31/08/2017

The Securities and Exchange Commission and New York University will host a forum in September to examine the fast growing market for exchange-traded products and its implications for investors.
CFTC Orders Ikon Global Markets, Inc. To Pay $200,000 For Recordkeeping Violations

Date 31/08/2017

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing to keep and promptly produce documentation for thousands of gold Exchange for Physical (EFP) trades, in violation of the Commodity Exchange Act (CEA) and CFTC Regulations. The trades were entered into by Ikon and reported to the NASDAQ OMX Futures Exchange, Inc. (NFX).
SEC: Former Pharma Company Accountant, Three Others Charged With Insider Trading

Date 31/08/2017

The Securities and Exchange Commission today charged an accountant and three others with insider trading on market-moving news about the New Jersey-based pharmaceutical company where the accountant formerly worked.