News Centre

FINRA Foundation Awards 2018 Ketchum Prize To Dr. Annamaria Lusardi - George Washington University Professor Recognized For Outstanding Service And Research To Advance Investor Protection And Financial Capability In The U.S.

Date 20/09/2018

The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Annamaria Lusardi the 2018 Ketchum Prize for outstanding service and research to advance investor protection and financial capability in the U.S.

CFTC To Hold An Open Commission Meeting On September 27, 2018

Date 20/09/2018

Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo announced today that the CFTC will hold an open meeting on Thursday, September 27, 2018, at 10:00 a.m. to consider the following:

• Proposed Rule Amending Registration and Compliance Obligations for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs)
• Fintech Cooperation Arrangement(s)
• Paperwork Reduction Act delegation to the Secretary of the Commission

Measuring The Impact Of The SEC’s Enforcement Program, Stephanie Avakian, Co-Director, Division Of Enforcement, Dallas, Texas, Sept. 20, 2018

Date 20/09/2018

Introduction

Good morning, and thank you Steve for that kind introduction and for those very moving words about Scott [Friestad].

We at the SEC lost a beloved leader and friend earlier this year when we lost Scott.  As many of you here know – Scott was widely respected by everyone he dealt with – regardless of which side of the table they sat on.  He was a dedicated public servant and he always led by example – with character, integrity, warmth and humility.  And this made him a cherished mentor to generations of SEC enforcement attorneys.  He was a great friend, and we all really miss him.  I thank you so much for honoring him here today.

SEC: Business Services Company And Former CFO Charged With Accounting Fraud

Date 20/09/2018

The Securities and Exchange Commission today charged the former chief financial officer of Barrett Business Services Inc. for his role in an accounting fraud involving BBSI’s workers’ compensation expenses. The SEC also charged BBSI in the accounting fraud and charged the company’s former controller for his role in improperly approving certain of the CFO’s accounting entries. Both BBSI and the former controller agreed to settle the Commission’s charges against them.  

NYSE Welcomes Eventbrite On Its First Day As A Publicly-Traded Company

Date 20/09/2018

Eventbrite, Inc. (NYSE: EB), a global ticketing and event technology platform, opened for trading today on the New York Stock Exchange (NYSE) under the ticker symbol “EB” following its initial public offering.

Autorité Des Marchés Financiers Publishes Annual Summary Of Corporate Finance Oversight And Regulatory Activities

Date 20/09/2018

The Autorité des marchés financiers (the “AMF”) today published its annual Summary of Oversight and Regulatory Activities (pdf - 2 MB)This link will open in a new window, which highlights its key initiatives for the 2017-2018 fiscal year.

ISDA And US Chamber Center For Capital Markets Competitiveness Publish CFTC-SEC Safe Harbor Recommendation

Date 20/09/2018

ISDA and the US Chamber Center for Capital Markets Competitiveness (CCMC) have published a new paper that recommends the introduction of a safe harbor mechanism that would avoid the need for firms to comply with two sets of similar but not identical US rules – one from the Commodity Futures Trading Commission (CFTC) and one from the Securities and Exchange Commission (SEC).

Nodal Clear Announces ED&F Man As New Clearing Member

Date 20/09/2018

Nodal Clear, LLC, the clearing house for Nodal Exchange, today announced that ED&F Man Capital Markets Inc. has been approved as a clearing member.

Council Of The European Union: Remarks By President Donald Tusk After The Salzburg Informal Summit - Brexit

Date 20/09/2018

Let me start by thanking the beautiful city of Salzburg, the Austrian EU Presidency and you personally, Sebastian, for hosting this remarkable summit. It is a truly impressive; the hospitality, the logistics, and it is not an empty compliment. It is one of the best political performances I ever experienced. Congratulations.

As you mentioned, we have discussed migration, internal security and Brexit here in Salzburg.

Vanguard Selects FTSE Russell Indexes For Two New US ESG ETFs

Date 20/09/2018

• Vanguard US ETFs based on recently introduced FTSE Global Choice Index Series
• Indexes enable investors to align their investment objectives with their values utilizing FTSE Russell’s global ESG index methodology
• FTSE Global Choice Index Series uses clear and simple exclusion methodology to screen stocks according to social and environmental impacts