News Centre

ASX Australian Investor Study 2017

Date 18/05/2017

More than one in three adults in Australia have investments in shares or other ‘on-exchange investments’ outside of institutional superannuation, beating investment property and cash savings as the most popular retail investment choice, according to the latest Australian Investor Study.

New Zealand's Financial Markets Authority: Former Financial Adviser Pleads Guilty To Four Charges Under Crimes Act

Date 18/05/2017

Anthony Wilson, a former Registered Financial Adviser yesterday pleaded guilty at the Auckland District Court to two charges of making a false document for pecuniary advantage.  The charges were filed by the Financial Markets Authority (FMA) under the Crimes Act.

SIFMA Municipal Division Recognized By National Federation Of Municipal Analysts

Date 18/05/2017

SIFMA today received an Industry Contribution Award from the National Federation of Municipal Analysts (NFMA).  The award recognizes SIFMA’s contributions to issues related to municipal securities disclosure, in particular SIFMA’s efforts to bring together stakeholder groups to discuss disclosure and advocate where there is common interest. 

CBOE Holdings’ C2 Options Exchange Sets Daily Volume Record

Date 18/05/2017

• CBOE Futures Exchange Logs Third–Busiest Day on Record
• Bats’ BZX, EDGX Options Exchanges Post Second–Busiest Days Ever

Remarks From The 2017 FINRA Annual Conference, Robert W. Cook, President and CEO, FINRA, FINRA Annual Conference, Washington, DC, MAY 17, 2017, A Changing Industry – A Changing FINRA

Date 18/05/2017

Good morning, and thank you Chip [Jones, FINRA’s Head of Member Relations and Education]. We all owe a debt of gratitude to Chip and his fantastic team for once again organizing an excellent conference, including more than 50 expert panel discussions that will help us better protect and serve investors.

SIFMA: Long Term Securities Issuance In First Quarter 2017 $1.9 Trillion, Up 13.1% Year/Year

Date 18/05/2017

SIFMA today published its Research Quarterly for the first quarter of 2017.  Long-term securities issuance totaled $1.90 trillion in 1Q’17, an 18.7 percent increase from $1.60 trillion in 4Q’16 and a 13.1 percent increase year-over-year from $1.68 trillion. Issuance increased quarter-over-quarter across all asset classes except for municipal, mortgage-related and asset-backed securities.  Year-over-year growth was positive in all asset classes except municipal debt.

CFTC Swaps Report Update

Date 17/05/2017

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

The CFTC Swaps Report provides a detailed weekly snapshot of the gross notional outstanding as of the penultimate Friday prior to the CFTC Swaps Report’s Wednesday publication date, as well as a detailed weekly total of the transaction volume (on both a ticket volume and dollar volume basis) ending that same penultimate Friday, in two asset classes (interest rate swaps, credit default swaps).

Released: Weekly on Wednesday at 3:30 p.m. - http://www.cftc.gov/MarketReports/SwapsReports/index.htm

Address Of CFTC Acting Chairman J. Christopher Giancarlo Before The New York FinTech Innovation Lab - “LabCFTC: Engaging Innovators In Digital Financial Markets”

Date 17/05/2017

Introduction

Good afternoon ladies and gentlemen. Thank you for your kind welcome.

My thanks for that warm introduction and for hosting today’s program. I am grateful to Tom Farley and the New York Stock Exchange for giving the CFTC the honor of ringing this afternoon’s closing bell. I thank Jeff Sprecher and Kelly Loeffler for extending the invitation.

CFTC Launches LabCFTC As Major FinTech Initiative

Date 17/05/2017

The U.S. Commodity Futures Trading Commission (CFTC) today approved the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech innovation to improve the quality, resiliency, and competitiveness of the markets the CFTC oversees. Located in New York LabCFTC will also look to accelerate CFTC engagement with FinTech and RegTech solutions that may enable the CFTC to carry out its mission responsibilities more effectively and efficiently. Today’s initiative was approved by a unanimous vote of the Commission.

Statement Of CFTC Commissioner Sharon Y. Bowen On the Launch Of LabCFTC

Date 17/05/2017

I commend Acting Chairman Giancarlo and the CFTC staff for launching this important initiative. The pace of technological change in financial services is relatively unparalleled in history. In fact, overall financial technology venture capital funding grew 48% since 2011 and lending and payments related categories account for 74% of venture funding since 2006.