News Centre

FINRA Posts Guidance On Enhanced Price Disclosure To Retail Investors For Corporate And Agency Bonds

Date 12/07/2017

The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corporate and agency bonds. The new requirements go into effect May 14, 2018.

SEC Files Insider Trading Charges Against Research Scientist Aiming To Avoid SEC Detection

Date 12/07/2017

The Securities and Exchange Commission today announced insider trading charges against a research scientist who allegedly searched the internet for “how sec detect unusual trade” before making a trade that the agency flagged as suspicious through data analysis.

Nadex Product Schedule For The Japan Holiday On Monday, July 17, 2017

Date 12/07/2017

Due to the Japan Holiday on Monday, July 17, 2017, the Japan 225 contracts will have a modified trading schedule.  Please refer to the Holiday Product Schedule Guidelines for specific product trading hours.

CFTC Swaps Report Update

Date 12/07/2017

CFTC's Weekly Swaps Report has been updated, and is now available.

SEC Announces Charges In Massive Telemarketing Boiler Room Scheme Targeting Seniors

Date 12/07/2017

The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling scams that bilked more than one hundred victims out of more than $10 million through high-pressure sales tactics and lies about penny stocks.

ESMA Issues Positive Opinion On Renewal Of Short Selling Ban By Spanish CNMV

Date 12/07/2017

The European Securities and Markets Authority (ESMA) has issued an official opinion agreeing to the renewal of the emergency short selling prohibition, for a period of two month, by the Comisión Nacional del Mercado de Valores (CNMV) on net short positions in Liberbank, S.A. (Liberbank) shares under the Short Selling Regulation.

NEPI Rockcastle Lists On Euronext Amsterdam

Date 12/07/2017

NEPI Rockcastle (ticker symbol: NRP), one of the largest real estate companies in Continental Europe, began trading today on Euronext Amsterdam.

Lighting Our Capital Markets, SEC Commissioner Kara M. Stein, Boston, Massachusetts, July 11, 2017

Date 12/07/2017

Thank you, Ty [Gellash] for that very kind introduction.

I am so pleased to be with you today. We all share an interest in ensuring that our markets are healthy. Strong and resilient markets are vital to having a strong and resilient economy.

Before I go further, let me pause to say that I am speaking today as an individual Commissioner and not on behalf of the SEC as a whole.

London Stock Exchange Group Plc Transaction In Own Shares

Date 12/07/2017

London Stock Exchange Group plc (the "Company") announces that it has purchased through RBC Europe Limited, in accordance with the authority granted by shareholders at the Company's Annual General Meeting on 26 April 2017, the following number of its ordinary shares of 6 79/86 pence each ("Shares") on the London Stock Exchange as part of the buyback programme announced on 29 March 2017:

Remarks At The Economic Club Of New York, SEC Chairman Jay Clayton, New York, N.Y., July 12, 2017

Date 12/07/2017

Thank you, Terry [Lundgren], for that kind introduction.  I am delighted to speak to you here at the Economic Club of New York.  The Club has established itself as an esteemed, non-partisan forum for economic discourse.  It is an ideal place to discuss policy of the U.S. Securities and Exchange Commission (“SEC” or “the Commission” or “the agency”) and its effects on the U.S. economy and the American people.  I intend to do just that in this, my first public speech as Chairman of the SEC.