News Centre

Japan's Financial Services Agency: Exchange Of Letters On Cooperation In The Area Of Audit Oversight With The AFM Of The Netherlands

Date 11/06/2014

The Financial Services Agency (FSA) and the Certified Public Accountants and Auditing Oversight Board (CPAAOB) exchanged theLetters on cooperation in the area of audit oversight (PDF:5,773KB) with the Netherlands Authority for Financial Markets (AFM) on June 11, 2014.

Bursa Malaysia Securities Publicly Reprimands Focus Dynamics Technologies Berhad And Fines The Executive Chairman RM25,000

Date 11/06/2014

Bursa Malaysia Securities Berhad (635998-W) (Bursa Malaysia Securities) has publicly reprimanded FOCUS DYNAMICS TECHNOLOGIES BERHAD (FOCUS or the Company) and its directors for breaches of the Bursa Malaysia Securities ACE Market Listing Requirements (ACE LR).  In addition, the Executive Chairman of the Company was fined RM25,000.

Moscow Exchange: Main Market Trading Interrupted

Date 11/06/2014

Please be advised that trading on the Main Market (Stock market) was interrupted at 11:35 MSK. The cause is being investigated, and trading will resume at a time to be announced.

Dalian Commodity Exchange Rounds Off 1st Full-market Night Trading Test

Date 11/06/2014

To effectively make technical preparations for the night trading, from the evening of June 7 to the afternoon of June 8, Dalian Commodity Exchange (DCE) successfully carried out the first full-market networking test for night trading.

Boards of Directors, Corporate Governance And Cyber-Risks: Sharpening The Focus, SEC Commissioner Luis A. Aguilar, "Cyber Risks And The Boardroom" Conference, New York Stock Exchange, New York, NY, June 10, 2014

Date 11/06/2014

Good afternoon. Thank you for that kind introduction. I am glad to be back at the New York Stock Exchange. In anticipating today’s conference, I thought back to an earlier trip to the NYSE where in April 2009, I had the opportunity to ring the closing bell. Before I begin my remarks, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (“SEC” or “Commission”), my fellow Commissioners, or members of the staff.

NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date May 30, 2014

Date 11/06/2014

At the end of the settlement date of May 30, 2014, short interest in 2,196 NASDAQ Global MarketSM securities totaled 7,887,728,402 shares compared with 7,780,690,219 shares in 2,189 Global Market issues reported for the prior settlement date of May 15, 2014. The end-of-May short interest represents 4.61 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.99 days for the prior reporting period.

The Office Of The Comptroller Of The Currency Announces Executive Changes

Date 10/06/2014

Comptroller of the Currency Thomas J. Curry today announced Jennifer Kelly will succeed John Lyons as the agency’s Senior Deputy Comptroller for Bank Supervision Policy and Chief National Examiner when Mr. Lyons retires August 1.

SIFMA Statement From Prudential Banking Conference

Date 10/06/2014

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, after his opening remarks at the 2nd Annual Prudential Banking Conference co-hosted by SIFMA and The Clearing House in Washington, DC: 

"As we discuss the changes that have taken place and the process of reforming prudential oversight of our largest financial institutions, policy makers and other stakeholders should not lose sight of the work that's already been accomplished.  In fact, it is important that we consider the sum total of what has been implemented, and the related costs, when considering additional rules and standards.   And, we must consider how the various new rules, when fully implemented, will work, or not, in tandem with one another."

ISDA Research Study: Central Clearing In The Equity Derivatives Market

Date 10/06/2014

The approval of the first central counterparties under the European Market Infrastructure Regulation has focused attention on how a clearing determination will be applied across the European Union. This paper outlines the composition of the equity derivatives market and the extent of central clearing today, as well as the criteria that should be assessed when determining whether a clearing mandate should apply in the EU. In addition, the paper examines whether the liquidity of the underlying reference share – proposed by ESMA as a possible method of defining a class of product – is appropriate for clearing mandate determinations.

SIFMA President And CEO Kenneth E Bentsen Jr - Introductory Remarks, SIFMA/TCH Prudential Bank Regulation Conference

Date 10/06/2014

Good morning. I’m Ken Bentsen, President and CEO of SIFMA. It’s a pleasure to be here.  

I’d like to thank everyone for joining us here today at our 2nd Annual Prudential Bank Regulation Conference. SIFMA is pleased to once again partner with The Clearing House as we continue to navigate through the implementation of Dodd-Frank rulemakings and other prudential regulations that impact our industry and the ability of banks to fuel economic growth. I’d like to thank Paul Saltzman and John Court, as well as the entire team at The Clearing House, for collaborating once again on this important event.