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  • S&P Dow Jones Indices: DJIA 2014 Q3 Report Card

    Date 01/10/2014

    At the End of the Quarter - The Dow Jones Industrial Average ends Q3 at 17,042.90 - up 466.24 or 2.81% for the year.  This level is slightly off the DJIA’s historical record close of 17,279.74, which was set on September 19 of this year.

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  • S&P Dow Jones Indices Market Attributes: U.S. Index Dashboard

    Date 01/10/2014

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  • CFTC Seeks To Deny Registrations Of Ronald E. Fisher And Zero Chaos Advisors LLC

    Date 30/09/2014

    The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to deny the application of Zero Chaos Advisors LLC(Zero Chaos) to register with the CFTC as a Commodity Trading Advisor (CTA) and the application of Ronald E. Fisher to register with the CFTC as an Associated Person of Zero Chaos. Zero Chaos and Fisher filed these applications for registration on March 2, 2014 (March 2, 2014 registration applications).

  • SIFMA Statement On FINRA CARDS Regulatory Notice

    Date 30/09/2014

    SIFMA today issued the following statement from Ira Hammerman, executive vice president & general counsel, after FINRA issued a Regulatory Notice regarding a proposed rule for the development of a Comprehensive Automated Risk Data System (CARDS):

     "SIFMA appreciates that FINRA is soliciting member firm feedback by issuing another Regulatory Notice on FINRA's CARDS proposal.  As SIFMA noted in its two previous comment letters, CARDS raises a number of important concerns, including investor privacy, data security, duplication of regulatory data collection with the pending CAT system, and other cost-benefit concerns that remain outstanding and must be fully vetted with all interested parties.  SIFMA looks forward to providing further comment on these important matters, which should be resolved before consideration of any formal proposal."

  • Remarks At The National Association Of Plan Advisors D.C. Fly-In Forum, SEC Commissioner Michael S. Piwowar Washington, DC, Sept. 30, 2014

    Date 30/09/2014

    Thank you, Steve [Dimitriou], for that kind introduction.  I am delighted to be here.  The National Association of Plan Advisors’ leadership in the retirement industry deserves praise.  Preparing for retirement is an issue that affects every American, so you provide an essential service.