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SIFMA Comments On SEC's Money Market Fund Proposal

Date 19/09/2013

SIFMA today announced it has submitted comments to the Securities and Exchange Commission (SEC) regarding proposed changes for money market funds (MMFs). The comment letter was submitted jointly by SIFMA’s Asset Management Group and Private Client Group.
SEC Approves Registration Rules For Municipal Advisors

Date 18/09/2013

The Securities and Exchange Commission today voted unanimously to adopt rules establishing a permanent registration regime for municipal advisors as required by the Dodd-Frank Act.
Statement Of SEC Commissioner Kara M. Stein At SEC Open Meeting Regarding The Proposing Release On Pay Ratio Disclosure

Date 18/09/2013

I want to reiterate the thanks to staff in the Division of Corporation Finance, the Division of Economic and Risk Analysis, and General Counsel for their hard work on this proposal.
SEC Proposes Rules For Pay Ratio Disclosure

Date 18/09/2013

The Securities and Exchange Commission today voted 3-2 to propose a new rule that would require public companies to disclose the ratio of the compensation of its chief executive officer (CEO) to the median compensation of its employees.
TMX: Top 20 Largest Consolidated Short Position Report - September 15, 2013

Date 18/09/2013

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending September 15th, 2013.

Dissenting Statement Of SEC Commissioner Daniel M. Gallagher Concerning The Proposal Of Rules To Implement The Section 953(B) Pay Ratio Disclosure Provision Of The Dodd-Frank Act

Date 18/09/2013

Today, the Commission will vote on proposed rules to implement yet another Dodd-Frank mandate having nothing to do with the SEC’s mission and everything to do with the politics of not letting a serious crisis go to waste.
CFTC Orders FXDirectDealer, LLC To Pay $2.74 Million For Supervision Failures Relating To Trading Platform

Date 18/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges that, from at least December 10, 2009, until June 2011, FXDirectDealer, LLC (FXDD), a CFTC-registered Retail Foreign Exchange Dealer and Futures Commission Merchant headquartered in New York, New York, violated its supervision obligations by employing a trading system that gave FXDD pricing advantages over and harmed thousands of its retail customers. The CFTC Order requires FXDD to make full restitution of $1,828,261 to FXDD’s current and former customers that were harmed by its violation and imposes a $914,131 civil monetary penalty against FXDD.
Federal Reserve Board And Federal Open Market Committee Release Economic Projections From The September 17-18 FOMC Meeting

Date 18/09/2013

The attached table and charts released on Wednesday summarize the economic projections and the target federal funds rate projections made by Federal Reserve Board members and Federal Reserve Bank presidents for the September 17-18 meeting of the Federal Open Market Committee.
SEC Charges Indiana-Based Company And Executives For Defrauding Investors In Renewable Fuel Production Scheme

Date 18/09/2013

The Securities and Exchange Commission today charged a company in Evansville, Ind., and several executives and suppliers for posing to investors as a legitimate biodiesel production business while concealing the extensive illegal activity that accounted for 99 percent of its revenues.
Federal Reserve Issues FOMC Statement

Date 18/09/2013

Information received since the Federal Open Market Committee met in July suggests that economic activity has been expanding at a moderate pace. Some indicators of labor market conditions have shown further improvement in recent months, but the unemployment rate remains elevated. Household spending and business fixed investment advanced, and the housing sector has been strengthening, but mortgage rates have risen further and fiscal policy is restraining economic growth. Apart from fluctuations due to changes in energy prices, inflation has been running below the Committee's longer-run objective, but longer-term inflation expectations have remained stable.