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  • "Making The Case For Smarter Regulation Of Centrally Cleared Markets" By Craig Donohue, OCC Executive Chairman And CEO

    Date 02/11/2016

    Centrally cleared, exchanged-traded derivatives markets have flourished over the last several decades. Under substantial regulation at all critical points in the ecosystem, (i.e. brokers, clearing members, exchanges and central counterparties (CCPs)), these markets proved to be resilient during the 2008 financial crisis. The regulatory regime for these markets included requirements respecting record-keeping, price reporting and transparency, and intermediated access to centralized counterparties such as OCC. Providing robust, independent risk management of financial transactions under the comprehensive regulatory oversight of and examination by the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC), OCC has served as the foundation for secure markets in the U.S. listed equity options markets since 1973.

  • FINRA Fines Eight Firms A Total Of $6.2 Million For Supervisory Failures Related To Variable Annuity L-Shares - Five Firms Ordered To Pay More Than $6 Million To Customers

    Date 02/11/2016

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five broker-dealer subsidiaries of Cetera Financial Group, Kestra Investment Services, LLC, and FTB Advisors, Inc., a total of $6.2 million for failing to supervise sales of variable annuities (VAs). FINRA also ordered five of the firms to pay more than $6 million to customers who purchased L-share variable annuities with potentially incompatible, complex and expensive long-term minimum-income and withdrawal riders. 

  • CFTC’s Market Risk Advisory Committee To Meet On November 17, 2016

    Date 02/11/2016

    The U.S. Commodity Futures Trading Commission’s (CFTC) Market Risk Advisory Committee (MRAC) will hold a public meeting on November 17, 2016 at the CFTC's Washington, DC, headquarters.

  • Moscow Exchange Trading Volumes In October 2016

    Date 02/11/2016

    Moscow Exchange (ticker: MOEX) announces trading volumes for October 2016. Total trading volumes increased by 5.5% YoY to RUB 70.8 trln.

  • TMX Group Introduces Four Letter Trading Symbols

    Date 02/11/2016

    • Canada's Markets lead industry efforts to align ticker symbol conventions with U.S.

MV 120 X 600 Hard to Reach