News Centre

Canadian Securities Regulators Release MFDA Oversight Review Report

Date 18/11/2016

The Canadian Securities Administrators (CSA) today released the Oversight Review Report of the Mutual Fund Dealers Association of Canada (MFDA).

FINRA Receives SEC Approval For Enhanced Price Disclosure To Retail Investors For Fixed-Income Securities

Date 18/11/2016

The Securities and Exchange Commission has approved FINRA’s proposal requiring its member firms to disclose on retail customer confirmations the “mark-up” or “mark-down” for most transactions in corporate and agency debt securities. The SEC at the same time has approved a similar proposal from the Municipal Securities Rulemaking Board, which harmonizes the requirements across the FINRA and MSRB rulebooks and eases implementation for the securities industry.

Statement Of CFTC Chairman Timothy Massad On The Announcement Of Thomas Sexton As President And CEO Of The National Futures Association

Date 18/11/2016

“I congratulate Tom Sexton on being named president and CEO of the National Futures Association (NFA). Tom brings a wealth of experience and a deep commitment to this role. We at the CFTC have a strong relationship with the NFA, and on behalf of the Commission, I wish Tom the best of luck. We look forward to continuing our close collaboration with the NFA.”

Nasdaq Files Form 8-K Reporting Management And Board Changes

Date 18/11/2016

On November 18, 2016, Nasdaq filed a Form 8-K with the U.S. Securities and Exchange Commission disclosing the appointment of Adena T. Friedman as the company's Chief Executive Officer and a member of Nasdaq’s board of directors effective January 1, 2017. Nasdaq also announced that Robert Greifeld will step down as Chief Executive Officer on December 31, 2016 and assume the role of Chairman of Nasdaq’s board of directors effective January 1, 2017. Ms. Friedman was also appointed as a member of the finance committee of the company’s board of directors.

Opening Statement At 35th Annual Small Business Forum, SEC Commissioner Michael S. Piwowar, Nov. 17, 2016

Date 18/11/2016

Thank you, Keith [Higgins] for the introduction.  Thank you, Sebastian [Gomez Abero] and the rest of the Office of Small Business Policy for organizing this annual gathering of the Commission, its staff, and the many individuals from across the country who have a strong dedication and passion for small businesses.

CFTC Commitments Of Traders Reports Update

Date 18/11/2016

The current reports for the week of November 15, 2016 are now available.

Federal Reserve Board To Broaden Scope Of Post-Employment Restrictions For Reserve Bank Senior Examiners And Officers

Date 18/11/2016

The Federal Reserve Board on Friday announced it is broadening the scope of post-employment restrictions applicable to Federal Reserve Bank senior examiners and officers. 

Lukken Welcomes Tom Sexton As President And CEO Of National Futures Association

Date 18/11/2016

Walt Lukken, president and CEO of FIA, congratulated Tom Sexton on being named president and CEO of the National Futures Association (NFA) today. 

A New Model For SEC Enforcement: Producing Bold And Unrelenting Results - Chair Mary Jo White, New York University School Of Law Program On Corporate Compliance And Enforcement - New York University School Of Law Pollack Center For Law And Business, Nov. 18, 2016

Date 18/11/2016

Introduction

Good morning and thank you, Dean [Trevor] Morrison for that very kind introduction. It is a pleasure to be here today and I want to thank the NYU Program on Corporate Compliance and Enforcement and the NYU Pollack Center for Law and Business for co-sponsoring this program. These programs provide important forums for sophisticated dialogue on critical white collar enforcement issues, which have an increased prominence post-financial crisis. I am honored to join your list of distinguished speakers.

Nigerian Stock Exchange Weekly Report For Week Ending 18 November 2016

Date 18/11/2016

A turnover of 823.547 million shares worth N5.444 billion in 11,634 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 2.847 billion shares valued at N7.420 billion that exchanged hands last week in 16,065 deals.