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  • SEC And NASAA Explain Application Of Securities Laws to Opportunity Zone Investments

    Date 15/07/2019

    The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal and state securities laws to opportunity zone investments. The "opportunity zone" program was established by the Tax Cuts and Jobs Act in December 2017 to provide tax incentives for long-term investing in designated economically distressed communities.

  • CME Group Congratulates CFTC Chairman Heath Tarbert

    Date 15/07/2019

    CME Group today released the following statement on the swearing in of Commodity Futures Trading Commission (CFTC) Chairman Heath Tarbert:

    "CME Group congratulates Dr. Tarbert as he is sworn in today as CFTC Chairman, following his strong bipartisan confirmation last month. His experience and accomplishments in the international arena in his role as Acting Under Secretary for International Affairs at the U.S. Department of the Treasury position him extraordinarily well to lead the agency. We look forward to working with the new Chairman and Commissioners Behnam, Berkovitz, Quintenz and Stump to address cross-border regulatory challenges and ensure the continued growth and integrity of U.S. derivatives markets."

  • Tarbert Begins Term As 14th CFTC Chairman, Chairman Tarbert: “Now Is the Time To Act.”

    Date 15/07/2019

    Dr. Heath P. Tarbert officially began his term today as the 14th Chairman of the U.S. Commodity Futures Trading Commission (CFTC), succeeding J. Christopher Giancarlo. 

  • Nomura To Pay Misled Bond Customers $25 Million To Settle SEC Charges

    Date 15/07/2019

    The Securities and Exchange Commission today instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to repay approximately $25 million to customers for its failure to adequately supervise traders in mortgage-backed securities.   

  • ESMA Updates Its EMIR Q&A

    Date 15/07/2019

    The European Securities and Markets Authority (ESMA) has issued today an update of its Q&A on practical questions regarding the European Markets Infrastructure Regulation (EMIR).