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  • Statement In The Matter Of JPMorgan Chase Bank, N.A., Regarding Order Under 506(d) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iii) Disqualification Provision, SEC Commissioner Kara M. Stein, Dec. 18, 2015

    Date 18/12/2015

    On December 18, 2015, the Securities and Exchange Commission (“Commission”) granted a conditional waiver to JPMorgan Chase Bank, N.A. (“J.P. Morgan”) from the automatic disqualification provision under Rule 506(d)(1)(iii) of the Securities Act of 1933 (“Securities Act”).  The request for this waiver arose from an order entered by the U.S. Commodity Futures Trading Commission (“CFTC”) making findings and imposing sanctions as a result of J.P. Morgan’s failure to adequately disclose certain conflicts of interest to clients.  The facts underlying the CFTC order are generally the same as those underlying the Commission order dated December 18, 2015.

  • SIFMA Statement On House Bills Introduced To Protect Retirement Savers

    Date 18/12/2015

    Today, SIFMA president and CEO Kenneth E. Bentsen, Jr., issued the following statement after Rep. Phil Roe (R-TN) introduced the “Affordable Retirement Advice Protection Act,” and Rep. Peter Roskam (R-IL) introduced the ‘‘Strengthening Access to Valuable Education and Retirement Support Act of 2015’’ or the ‘‘SAVERS Act of 2015.” The bills were introduced with Reps. Richard Neal (D-MA) and John Larson (D-CT):

    “We applaud Reps. Roe, Roskam, Neal and Larson for taking bipartisan action to protect investors.  The Affordable Retirement Advice Protection Act is intended to enhance retirement security and promote a best interest standard for advisors serving retail investors by modifying current retirement law. The SAVERS Act similarly aims to promote the best interests of investors by modifying current tax law. SIFMA has long supported the creation of a best interest standard for brokers, yet the DOL’s proposal as written is fundamentally flawed and will hurt the very same investors it seeks to protect. We commend any congressional action that will help protect investor choice and access to guidance, without raising costs. Retirement savings is too important not to get this right.”

  • Autorité Des Marchés Financiers Adjusts Its Annual And Other Fees

    Date 18/12/2015

    As of January 1, 2016, the annual and other fees payable under the laws administered by theAutorité des marchés financiers (the “AMF”) will be adjusted.

  • MIAX Options Exchange: Securities Trader Registration Categories And Qualification Exam For Proprietary Trading

    Date 18/12/2015

    MIAX ("MIAX" or "the Exchange") is establishing a new Securities Trader registration category ("TD") and qualification examination (Series 57) for persons engaged in proprietary trading on the Exchange effective January 4, 2016.  MIAX is also establishing a new Securities Trader Principal registration category ("TP") applicable to persons responsible for supervision of persons engaged in proprietary trading effective January 4, 2016. 

  • SEC: Convicted Fraudster Using Aliases Charged Again For Defrauding Investors

    Date 18/12/2015

    The Securities and Exchange Commission today charged a known securities fraudster with conducting a new scheme since his release from prison by using fake names to solicit investors while hiding his criminal past.