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Remarks: SIFMA Compliance And Legal Society, Robert W. Cook. FINRA President And CEO, The Harvard Club, New York, NY, January 10, 2017

Date 10/01/2017

Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.

I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I look forward to continuing a regular and robust dialogue with you.

OneChicago: Martin Luther King Jr. Holiday Trading Hours

Date 10/01/2017

OneChicago, LLC (“OneChicago”) will be closed on Monday, January 16, 2017 in observance of the upcoming Martin Luther King Jr. Holiday, which is consistent with U.S. equity markets.  OneChicago will be open on Tuesday, January 17, 2017.

BM&FBOVESPA Publishes 2016 Market Performance

Date 10/01/2017

Trading value in BM&FBOVESPA’s equity market (BOVESPA segment) in 2016 totaled BRL 1.84 trillion, compared with BRL 1.67 trillion in 2015. Average daily trading value was BRL 7.41 billion, from BRL 7.33 billion in 2015. Total volume reached 244,218,648 trades, from 230,189,152 in 2015; and average daily volume was 980,798, compared with 1,009,867.

U.S. Department Of Justice: Three Former Traders For Major Banks Indicted In Foreign Currency Exchange Antitrust Conspiracy

Date 10/01/2017

A federal grand jury returned an indictment against three former traders of major banks for their alleged roles in a conspiracy to manipulate the price of U.S. dollars and euros exchanged in the foreign currency exchange (FX) spot market, the Justice Department announced today.

Clarification Letter To SEC From Port Authority Of New York And New Jersey

Date 10/01/2017

BY HAND AND E-MAIL

Mr. Sanjay Wadhwa
Ms. Celeste Chase
Mr. Osman Nawaz
Securities & Exchange Commission
200 Vesey Street
New York, NY 10281

Re:       Roadway Projects Settlement - Press Release

Dear Messrs. Wadhwa and Nawaz and Ms. Chase:

I write on behalf of The Port Authority of New York and New Jersey with respect to the press release issued earlier today by The Securities and Exchange Commission concerning the settlement relating to the Roadway Projects that resulted in the agreed Consent Order.  The press release is actually or potentially misleading in two respects.  The Port Authority formally requests that the SEC issue a public statement correcting the misleading aspects of the press release as soon as possible.

MIAX Options Exchange: Amendments To MIAX Options Rule 515A - PRIME

Date 10/01/2017

MIAX Options has filed with the Securities and Exchange Commission to make the MIAX Options PRIME pilot program permanent. 

Canadian Securities Regulators Seek Input On Potential Impacts Of Discontinuing Embedded Commissions

Date 10/01/2017

The Canadian Securities Administrators (CSA) today published for a 150-day comment period CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Consultation Paper), which seeks input on the option of discontinuing embedded commissions and the potential impacts of such a change on Canadian investors and market participants.

MIAX Options Exchange: MIAX Options Holiday Schedule - Martin Luther King Jr. Day

Date 10/01/2017

Please be advised the MIAX Options Exchange will be closed on Monday, January 16, 2017 in observance of Martin Luther King Jr. Day.

Office Of Financial Research Update: 2016 Annual Research Review

Date 10/01/2017

The OFR posted today posted the 2016 Annual Research Review, which contains synopses of our working papers, briefs, and viewpoint published in fiscal 2016. Two themes emerge. First, our research reflects the importance of our independent view, which we are free to take because the OFR does not make policy. Second, the publication illustrates the importance of our mandate to improve financial data. 

Remarks Of CFTC Chairman Timothy Massad Before The London School Of Economics

Date 10/01/2017

Introduction

Thank you, Eva, for that warm introduction. I’m very pleased to be here.

I join you at a time of uncertainty. A time when the United States, the United Kingdom and Europe are all entering uncharted political waters. In the United States, we are 10 days away from the inauguration of a new president whose election defied all political predictions and conventions. What Mr. Trump’s presidency will mean for both domestic policy and the role of the United States in the world is difficult to predict. Here in Britain, the vote to exit the European Union will take the United Kingdom and Europe on a path that is not yet known— to a new relationship that has not yet been defined.