News Centre

SIFMA Statement On The SEC's Adoption Of Regulation SCI

Date 19/11/2014

SIFMA today issued the following statement from Randy Snook, executive vice president, business policies and practices, on the SEC's adoption of Regulation SCI:

"SIFMA supports Regulation SCI's goal of market resiliency, which is a critical responsibility that all market participants share. Regulation SCI is a meaningful step forward to help ensure that the financial industry's critical infrastructure can support robust market activity and avoid disruptions that could undermine investor confidence in the markets. While we will need to review the scope and details of this rule with our members, we are encouraged by the SEC's focus on critical market participants."

SEC Announces Next Meeting Of The Advisory Committee On Small And Emerging Companies

Date 19/11/2014

The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, Dec. 17, beginning at 9:30 a.m. ET.  The committee will focus on the interests and priorities of emerging and smaller public companies.

CFTC Swaps Report Update

Date 19/11/2014

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

FIF Capacity Statistics For October 2014: Four New Record 1 Second Peaks: SIAC OPRA, BATS BZX TOP, UTP UTDF, BATS Options MCASTPITCH AGG

Date 19/11/2014

This month’s bulletin from the Financial Information Forum (FIF) finds that SIAC OPRAwas up 14% to 9,624,807 mps over the 1 second interval

Statement At Open Meeting On Regulation SCI, SEC Commissioner Daniel M. Gallagher

Date 19/11/2014

Thank you, Chair White.  I’d like to begin by thanking the Trading and Markets staff, in particular Dave Shillman, David Liu, Heidi Pilpel, and Yue Ding, for all of their hard work on this rulemaking. I’d especially like to note their thoughtful and comprehensive treatment of the comments we received on the proposing release.  I would also like to thank the staff in DERA and the Office of General Counsel for all of their hard work on this matter.

Capital Markets Cooperative Research Centre (CMCRC): Thanksgiving In US Bears No Gifts For The Canadian Financial Markets - Holidays In Some Financial Markets Can Affect Market Quality In Other Countries

Date 19/11/2014

The Capital Markets Cooperative Research Centre (CMCRC) has released analysis showing that the US Thanksgiving holiday negatively impacts the quality of Canadian securities markets.

Human Rights Campaign Names DTCC a "Best Place to Work" For Third Consecutive Year

Date 19/11/2014

The Human Rights Campaign (HRC) has named The Depository Trust & Clearing Corporation (DTCC) a 2015 “Best Place to Work” for lesbian, gay, bisexual and transgender (LGBT) employees, marking the third consecutive year that DTCC has been honored with the designation.

Remarks At 31st International Conference On The Foreign Corrupt Practices Act, Andrew Ceresney, Director, SEC Division Of Enforcement, National Harbor, Maryland, Nov. 19, 2014

Date 19/11/2014

Introduction

At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.

I am very excited to be here again this year to discuss the latest developments in the SEC’s FCPA enforcement. Pursuing such violations remains a critical part of our enforcement efforts, as international bribery has many nefarious impacts, including sapping investor confidence in the legitimacy of a company’s performance and undermining the accuracy of a company's books and records.

Minutes Of The Federal Open Market Committee, October 28-29, 2014

Date 19/11/2014

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on October 28-29, 2014.

Steven Maijoor, Chair Of ESMA, Speaks At CFA Conference - Regulatory Measures To Prevent Another Crisis

Date 19/11/2014

Steven Maijoor, Chair of ESMA, today gave the keynote speech  at the "Regulatory measures to prevent another crisis?" event organised by the CFA Institute in Brussels, Belgium.