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The Middle-Market IPO Tax, SEC Commissioner Robert J. Jackson Jr. , Cleveland, Ohio, April 25, 2018

Date 25/04/2018

Thank you so much, Tom, for that kind introduction. It’s a real honor to be here with you today at the Greater Cleveland Middle Market Forum.* In addition to leading some of the Nation’s most promising young companies, you all have done exceptional work making sure that the middle market gets the attention it deserves in Washington. And as a lifelong baseball fan, I couldn’t miss the chance to see the Indians show the Cubs who’s boss tonight in Cleveland.

CFTC Swaps Report Update

Date 25/04/2018

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

CFTC Chairman Giancarlo To Participate In A Panel Discussion At The Milken Institute Global Conference 2018

Date 25/04/2018

SEC: Eric R. Werner Named Associate Regional Director For Enforcement In Fort Worth Office

Date 25/04/2018

The Securities and Exchange Commission today announced that Eric R. Werner has been named the Associate Regional Director for Enforcement in the SEC’s Fort Worth Regional Office.  He succeeds Jessica B. Magee, who left the agency in February.

Supervisory Board Resolves Executive Board Composition Of Deutsche Börse AG

Date 25/04/2018

• Thomas Book, Christoph Böhm and Stephan Leithner appointed as Board Members

Remarks Before The SIFMA Equity Market Structure Conference, SEC Commissioner Hester M. Peirce, New York, NY, April 18, 2018

Date 25/04/2018

Thank you, Randy [Snook], for your kind introduction, and for accommodating my schedule by allowing me to deliver my remarks at the beginning of today’s conference. It is a special privilege for me to be able to speak at SIFMA’s market structure conference at this early point in my tenure as a Commissioner. In recent years, I thought it would be a refreshing change to focus on less controversial issues than, say, the Dodd-Frank Act. So it was that I turned to the Securities Acts Amendments of 1975, Regulation NMS, and market structure. And increasingly, I found myself puzzling over the strange role that the Commission plays in directing—and often determining—the evolution of U.S. equity market structure and wondering where it had lost its way. This morning, I’d like to share some initial thoughts on this history and how it might help us think more clearly about the market structure issues we currently face.

Eric R. Werner Named Associate Regional Director For Enforcement In Fort Worth Office

Date 25/04/2018

The Securities and Exchange Commission today announced that Eric R. Werner has been named the Associate Regional Director for Enforcement in the SEC’s Fort Worth Regional Office.  He succeeds Jessica B. Magee, who left the agency in February.

Strong Start Of The Year For Deutsche Börse AG

Date 25/04/2018

• Net revenue up 11 per cent in Q1/2018, to €692 million
• Further structural growth achieved, in line with projections
• Adjusted EBITDA up 15 per cent, to €438 million
• Consolidated net profit for the period and earnings per share (adjusted) were both 17 per cent above the previous year

OCC Named Best Clearing House By Markets Media

Date 25/04/2018

OCC, the world's largest equity derivatives clearing organization, today said it was named Best Clearing House by Markets Media. The award was presented to OCC on April 24 in New York as part of the publication's 6th Annual Markets Choice Awards.

David Harris Joins Mizuho In Convertible Bonds And Seiichi Matsunaga Transfers To New York

Date 25/04/2018

Mizuho Americas today announced that Seiichi Matsunaga has transferred from the Tokyo office to head the Japan broker-dealer business based in New York City and David Harris has been hired to trade convertible bonds. Both are previously existing roles for the firm, with Matsunaga reporting to Matthew DeSalvo, Head of Equities and Harris to Daniel Albert, Managing Director, Convertible Bonds.