News Centre

Statement On The Proposed Rule To Require The Use Of Universal Proxies, SEC Commissioner Kara M. Stein, Oct. 26, 2016

Date 26/10/2016

Good morning.  I would like to thank the staff for all of their hard work leading up to this proposal.  The team spent a lot of time listening to and considering a variety of views regarding the issue of universal proxy.  In particular, I would like to thank Tiffany Posil, Tina Chalk and Michele Anderson in the Office of Mergers & Acquisitions and Tara Bhandari of DERA. 

Office Of The Comptroller Of The Currency Issues Responsible Innovation Framework

Date 26/10/2016

The Office of the Comptroller of the Currency (OCC) today announced it will establish an office dedicated to responsible innovation and implement a formal framework to improve the agency’s ability to identify, understand, and respond to financial innovation affecting the federal banking system.

Statement On Exemptions To Facilitate Intrastate And Regional Securities Offerings, SEC Commissioner Kara M. Stein, Oct. 26, 2016

Date 26/10/2016

Good morning.  I want to thank the staff for their hard work on these rules.  Specifically, I would like to thank Anthony Barone, Jenny Reigel, Ivan Griswold and Sebastian Gomez in the Office of Small Business Policy.  I also would like to thank Timothy White in the Division of Trading & Markets, Rachita Gullapalli in the Division of Economic Risk and Analysis, and Bryant Morris in the Office of General Counsel. 

CFTC Swaps Report Update

Date 26/10/2016

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

CME Group Announces First Trades Of Alumina FOB Australia (Platts) Futures

Date 26/10/2016

CME Group, the world's leading and most diverse derivatives marketplace, today announced that the first Alumina FOB Australia (Platts) Futures contracts were traded on Tuesday, Oct. 25, 2016. A total of 60 futures contracts, equivalent to 6,000 metric tons, were traded across the January through June 2017 contract months.

SEC Proposes Amendments To Require Use Of Universal Proxy Cards - Proposal Facilitates Shareholders’ Ability To Vote For Their Preferred Combination Of Board Candidates In Contested Elections

Date 26/10/2016

The Securities and Exchange Commission today voted to propose amendments to the proxy rules to require parties in a contested election to use universal proxy cards that would include the names of all board of director nominees.  The proposal gives shareholders the ability to vote by proxy for their preferred combination of board candidates, similar to voting in person.

Nasdaq Files Form 8-K with Financial Results For The Third Quarter Of 2016 And Announcement Of Quarterly Dividend

Date 26/10/2016

On October 26, 2016, Nasdaq filed a Form 8-K with the U.S. Securities and Exchange Commission attaching press releases announcing the (i) financial results for the third quarter of 2016 and (ii) declaration of a quarterly dividend.  The Form 8-K can be accessed on Nasdaq's website at http://ir.nasdaq.com/sec.cfm and on the SEC's website at http://www.sec.gov.

SEC Adopts Final Rules To Facilitate Intrastate And Regional Securities Offerings - Rules Provide More Options For Companies To Raise Money While Maintaining Investor Protections

Date 26/10/2016

The Securities and Exchange Commission today adopted final rules that modernize how companies can raise money to fund their businesses through intrastate and small offerings while maintaining investor protections. 

Nasdaq Announces Quarterly Dividend Of $0.32 Per Share

Date 26/10/2016

The Board of Directors of Nasdaq, Inc (Nasdaq:NDAQ) has declared a regular quarterly dividend of $0.32 per share on the company's outstanding common stock.  The dividend is payable on December 30, 2016, to shareowners of record at the close of business on December 16, 2016.  Future declarations of quarterly dividends and the establishment of future record and payment dates are subject to approval by the Board of Directors.

The Rationale For The FCA’s Mission And The Context Which The FCA Operates In - Speech By Andrew Bailey, Chief Executive At The FCA, Delivered At City Banquet, Mansion House

Date 26/10/2016

Highlights

• Our future Mission sets out our thinking on how we approach our task and the tools we have to achieve it.
• The purpose of our Mission is to start a discussion to help decide the best way for us to apply our statutory objectives in future.
• We must work out how to fulfil our objectives in a world of rising uncertainty and the Mission starts to try to tackle this question.