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NZX Chairman & CEO Addresses To Annual Meeting

Date 16/05/2014

Please see below text of the speeches delivered by NZX Chairman Andrew Harmos and CEO Tim Bennett to NZX's Annual Meeting being held this afternoon in Auckland.
Montréal Exchange - Market Holiday - Victoria Day

Date 16/05/2014

Interest rate derivative trading will cease at 1:30 p.m. today, May 16, 2014. Furthermore, the Exchange's offices and markets will be closed on May 19, 2014 (Victoria Day).
CalPERS Names Matthew G. Jacobs As New General Counsel

Date 16/05/2014

The California Public Employees’ Retirement System (CalPERS) has named Matthew G. Jacobs as the Pension Fund’s General Counsel.
SIFMA Statement On Senate Banking Committee Passage Of GSE Reform Bill

Date 15/05/2014

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, on the passage of the Johnson-Crapo GSE Reform Bill (S. 1217) by the Senate Banking, Housing, and Urban Affairs Committee:

"SIFMA welcomes today’s development which brings us one significant step closer to achieving the shared goal of establishing a more sustainable housing finance system. We appreciate the thoughtful approach to reform established by S. 1217 and improved upon over the past few weeks by various Committee members. While additional work remains, we are optimistic about the future of the economy if these kinds of reforms occur."
Comment Letter On The OFR Asset Management And Financial Stability Report

Date 15/05/2014

Today, I filed a comment letter in connection with the Office of Financial Research Asset Management and Financial Stability Report. The comment letter is available at http://www.sec.gov/comments/am-1/am1-52.pdf. It is my hope that my comments will prove useful to the discussion at the conference on the asset management industry and its activities to be held by the Financial Stability Oversight Council on May 19, 2014.

SIFMA AMG Comments On Investor Cost Of SIFI Designation For Asset Managers

Date 15/05/2014

SIFMA's Asset Management Group today released the following statement from Timothy Cameron, managing director and head of SIFMA's Asset Management Group, in response to the American Action Forum's new research on "The Investor Cost of Designating Investment Funds as Systemically Important Financial Institutions."
SEC Charges Unregistered Securities Salesman For Selling Millions Of Dollars In Oil-And-Gas Investments

Date 15/05/2014

The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer.
CFTC Charges Florida-Based Palm Beach Capital LLC And Lawrence Scott Spain with Engaging In Illegal, Off-Exchange Precious Metals Transactions

Date 15/05/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against DefendantsPalm Beach Capital LLC (PBC) of Palm Beach, Florida, and its owner and manager, Lawrence Scott Spain, of Boca Raton, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis. The Complaint further alleges that Spain, as controlling person for PBC, is liable for PBC’s violations of the Commodity Exchange Act (CEA).
SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades For Unregistered Firm

Date 15/05/2014

The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.
Chief Accountant Paul Beswick To Leave SEC

Date 15/05/2014

The Securities and Exchange Commission today announced that Chief Accountant Paul A. Beswick is leaving the agency to return to the private sector. He will remain for a transitional period to help ensure continuity in the agency’s Office of the Chief Accountant (OCA).