News Centre

CME Group Declares Quarterly Dividend

Date 07/11/2018

CME Group Inc., the world's leading and most diverse derivatives marketplace, today declared a fourth-quarter dividend of $0.70 per share, payable December 27, 2018, to shareholders of record as of December 10, 2018. 

SEC: Investor Testing Of The Proposed Relationship Summary For Investment Advisers And Broker-Dealers

Date 07/11/2018

In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate today made available a report on investor testing conducted by the RAND Corporation.  The investor testing gathered feedback on a sample Relationship Summary issued in April 2018 as part of a package of proposed rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers. The report is available for review and comment on the SEC’s website.

CFTC Commissioner Dawn D. Stump Announces Staff Appointments

Date 07/11/2018

U.S. Commodity Futures Trading Commission (CFTC) Commissioner Dawn D. Stump announced that Dan Bucsa will serve as Chief of Staff and Senior Policy Advisor and Elizabeth Mastrogiacomo will serve as Senior Counsel.

Carbon Fund Lists On NZX In New Zealand First

Date 07/11/2018

In a New Zealand first, NZX welcomes the inaugural Carbon Fund (CO2) to be listed on the Main Board today by Salt Funds Management.

CFTC Swaps Report Update

Date 07/11/2018

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

Remarks To The SEC Investor Advisory Committee, SEC Chairman Jay Clayton, Nov. 7, 2018

Date 07/11/2018

Thank you, Anne (Sheehan), and good afternoon everyone.

I would like to thank the Committee for convening this meeting to discuss the Commission’s work to enhance retail investor protection and retail investor decision making by bringing the legal requirements and mandated disclosures of financial professionals in line with retail investor expectations – specifically, our proposed Regulation Best Interest and our proposed Customer Relationship Summary or CRS.

CFTC Chairman Giancarlo To Participate At The Global Financial Leadership Conference

Date 07/11/2018

TMX Group Equity Financing Statistics – October 2018

Date 07/11/2018

TMX Group today announced its financing activity on Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) for October 2018.

SEC Charges ITG With Misleading Dark Pool Subscribers

Date 07/11/2018

The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay $12 million to settle charges arising from ITG’s misstatements and omissions about the operation of the firm’s dark pool, POSIT, and ITG’s failure to establish adequate safeguards and procedures to protect POSIT subscribers’ confidential trading information.

Keynote Address Of CFTC Chairman J. Christopher Giancarlo At Fintech Week, Georgetown University Law School - “Quantitative Regulation: Effective Market Regulation In A Digital Era”

Date 07/11/2018

Thank you.  Let me begin by thanking Georgetown Law Professor and Director of the Institute of International Economic Law, Chris Brummer. In only a few short years under his leadership, the Georgetown Law FinTech Conference has become one of the true forums for thought leadership in the overcrowded industry of FinTech conferences.