News Centre

Statement Of Commissioner Mark Wetjen Before The Global Markets Advisory Committee Open Meeting

Date 09/10/2014

Thank you everyone for being here today. We have a couple of interesting topics to discuss here today, both related to currency and derivatives under the CFTC’s jurisdiction. Let me start by welcoming Chairman Massad and Commissioners Bowen and Giancarlo, their first GMAC meeting. And I want to extend a special welcome to David Bailey from the Bank of England, and Rodrigo Buenaventura from the European Securities and Markets Authority. It’s a pleasure to have you with us today. Before we turn to Chairman Massad and the other commissioners, I want to make a couple of brief remarks.

SEC Charges Current And Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings

Date 09/10/2014

The Securities and Exchange Commission today announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers.

TeraExchange Completes First Bitcoin Derivatives Trade On Regulated Exchange

Date 09/10/2014

TeraExchange announced today the first bitcoin derivative transaction to be executed on a regulated exchange. The initial trade was completed between digitalBTC, the world's first bitcoin-focused company to commence trading on a major stock exchange, and a hedging counterparty.

SEC Staff Issue Risk Alert And FAQs On Customer Sales Of Securities

Date 09/10/2014

The Securities and Exchange Commission today announced publication of a Risk Alert and FAQs to remind broker-dealers of their obligations when they engage in unregistered transactions on behalf of their customers.  The publication of the staff guidance was accompanied by the announcement of an enforcement action against two firms for improperly selling billions of shares of penny stocks through such unregistered offerings.

EEX Publishes Auction Calendar For 2015 - Dates And Volumes Announced For The Common (EU), German And Polish Auctions

Date 09/10/2014

Upon consultation with the European Commission and the participating Member States as well as with the competent German and Polish authorities, the European Energy Exchange (EEX) has determined the 2015 auction calendar for EU allowances (EUA) and EU aviation allowances (EUAA).

Opening Remarks At Investor Advisory Committee, SEC Chair Mary Jo White, Oct. 9, 2014

Date 09/10/2014

Good morning, and welcome to today’s meeting of the Investor Advisory Committee.

I want to touch briefly today on the Commission’s rulemaking agenda since you last met, mention a few other developments and give a brief update on the status of our consideration of your recommendations.

Borsa Italiana Hosts Its 2014 Luxury & Finance Event

Date 09/10/2014

• Listed and private companies from the fashion, luxury goods and lifestyle sectors meet international investors
• Over 450 meetings organised by more than 100 international investors

Year To Date Venture Capital Fundraising Surpasses Full Year 2013 Commitment Levels - U.S. Firms Raise Nearly $6.1 Billion During Third Quarter

Date 09/10/2014

U.S. venture capital firms raised $6.1 billion in new commitments from 60 funds during the third quarter of 2014, a 26 percent decrease compared to the number of funds raised during the second quarter of 2014 and a 21 percent decline by dollar commitments, according to Thomson Reuters and the National Venture Capital Association (NVCA). The level of dollar commitments raised during the third quarter of 2014 increased 40 percent compared to the third quarter of last year and brings the dollar volume of capital committed to U.S. venture capital funds during the first nine months of 2014 to $23.8 billion, eclipsing full year 2013 levels.

Bucharest Stock Exchange: Transition To The T+2 Settlement Cycle, As Well As Migration To The New System Of Cooperation Between Trading And Post-Trading Systems, Were Successfully Completed By The Romanian Capital Market

Date 09/10/2014

Bucharest Stock Exchange informs that on October 6, 2014, the two major infrastructure projects of the Romanian capital market, namely the segregation of the trading and post-trading systems, and the migration to T+2 settlement cycle, were successfully implemented.

CISI Welcomes The Appointment Of Dame Colette Bowe As Chair Of The Banking Standards Review Council

Date 09/10/2014

The Chartered Institute for Securities & Investment (CISI), a charity and professional body, welcomes the appointment of Dame Colette Bowe as Chair of the Banking Standards Review Council and looks forward to playing its part in helping the wider banking industry to become more professional.