News Centre

SIFMA AMG Announces New Derivatives Package To Help Asset Managers Onboard Clients - Template Document Is Part Of A Series Of Resources That SIFMA AMG Is Making Available To Firms

Date 10/06/2016

SIFMA’s Asset Management Group (SIFMA AMG) today announced the availability of a new template client document that asset management firms can use to comply with new informational and disclosure obligations required to onboard clients for derivatives transactions.  

Ontario Securities Commission Publishes 2016-2017 Statement Of Priorities

Date 09/06/2016

The Ontario Securities Commission (OSC) today published its 2016-2017 Statement of Priorities,which sets out priority areas where the OSC intends to focus key resources and actions for the coming fiscal year, as well as the expected outcomes.

Nasdaq Announces End-Of-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date May 31, 2016

Date 09/06/2016

At the end of the settlement date of May 31, 2016, short interest in  2,307  Nasdaq Global MarketSM securities totaled  7,885,936,338  shares compared with  7,897,704,412  shares in  2,306  Global Market issues reported for the prior settlement date of May 13, 2016. The end-of-May short interest represents  4.73  days average daily Nasdaq Global Market share volume for the reporting period, compared with  4.42  days for the prior reporting period.

Office Of Financial Research Update - Linking Company Data Across Datasets

Date 09/06/2016

The OFR released a blog today by Stacey Schreft, OFR Deputy Director for Research and Analysis, abouta challenge issued by the OFR and the National Institute of Standards and Technology (NIST) to attract solutions from experts in academia and industry to solve the problem of linking company data across datasets. NIST awarded the University of Maryland a grant to administer the challenge, called the Financial Entity Identification and Information Integration Challenge. The eight teams participating in the challenge will share their results on July 1 at an industry conference for database developers and users in San Francisco.

Remarks Before The 35th Annual SEC And Financial Reporting Institute Conference, Wesley R. Bricker, SEC Deputy Chief Accountant, Los Angeles, California, June 9, 2016

Date 09/06/2016

The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees. The views expressed herein are those of the author and do not necessarily reflect the views of the Commission or of the author’s colleagues upon the staff of the Commission.

Prospectus - Nasdaq, Inc.

Date 09/06/2016

Nasdaq, Inc. hereby publishes the prospectus of its listing of €600 million aggregate principal amount of 1.750% Senior Notes due 2023 on Nasdaq Copenhagen A/S. The prospectus was approved by the Danish FSA today, June 9, 2016.

Euronext Announces Quarterly Review Results For The CAC Family Indices

Date 09/06/2016

Euronext today announced the results of the reweighting of the CAC family indices, which took place after close of the markets on Thursday 9 June 2016. The changes following the review will be effective from 20 June 2016.

SEC Issues $17 Million Whistleblower Award

Date 09/06/2016

Keynote Remarks Of CFTC Chairman Timothy Massad Before The Global Exchange And Brokerage Conference, New York, NY

Date 09/06/2016

I’m very pleased to be back with you all today.

My journey to New York began yesterday – in Shanghai. I had the pleasure of spending the past week and a half in Asia, where I met with a number of regulators and market participants, and also participated in the U.S.-China Strategic and Economic Dialogue in Beijing. I have been very focused on enhancing cooperation with regulators across the globe, so it was good to have this opportunity. But it’s always good to be back home.

SEC: Consultant To Chinese Private Equity Firms Settles Insider Trading Charges

Date 09/06/2016