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  • 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.