News Centre

The National Stock Exchange Re-Launches Trading Operations - A No-Conflict Exchange Focused On Clients And Innovation - New Fee Structure Immediately Delivers Client Savings

Date 22/12/2015

This morning the National Stock Exchange, Inc. (“NSX”) re-launched trading operations for equity securities and ETFs.  The NSX is now under the direction of a new ownership group and management team, which recapitalized and restructured NSX after it ceased trading operations in May 2014.   

CFTC Issues Order Of Exemption From Registration As A Derivatives Clearing Organization To OTC Clearing Hong Kong Limited

Date 22/12/2015

The U.S. Commodity Futures Trading Commission (Commission) issued an order of exemption from registration as a derivatives clearing organization (DCO) to OTC Clearing Hong Kong Limited (OTC Clear). The Commission issued this order based on its authority under Section 5b(h) of the Commodity Exchange Act.

CME Group Inc. Announces Fourth-Quarter 2015 Earnings Release, Conference Call

Date 22/12/2015

CME Group Inc. will announce earnings for the fourth quarter of 2015 before the markets open on Friday, February 5, 2016.  The company has scheduled an investor conference call that day at 7:30 a.m. Central time.

CFTC And Hong Kong Securities And Futures Commission Sign Memorandum Of Understanding To Enhance Supervision Of Cross-Border Regulated Entities

Date 22/12/2015

The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Timothy Massad signed a Memorandum of Understanding (MOU) with Hong Kong Securities and Futures Commission (SFC) Chief Executive Officer Ashley Alder regarding cooperation and the exchange of information in the supervision and oversight of regulated entities that operate on a cross-border basis in the United States and in Hong Kong.

CFTC’s Division Of Market Oversight Provides Time-Limited No-Action Relief from Certain Audit Trail Requirements In CFTC Regulations Related To Post-trade Allocation

Date 22/12/2015

The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today provided time-limited no-action relief for Swap Execution Facilities (SEFs) from the requirements to capture post-trade allocation information in their audit trail data, as required under CFTC Regulations.

EBA: Consultation On Remuneration Of Sales Staff

Date 22/12/2015

The European Banking Authority (EBA) launched today a consultation on its draft guidelines on remuneration policies and practices related to the sale and provision of retail banking products and services. The EBA has identified poor remuneration policies and practices as a key driver of miss-selling of financial products and services. The Guidelines are aimed at protecting consumers and reducing conduct costs of firms. The consultation runs until 22 March 2016.

SEC: Morgan Stanley Settles Charges In “Parking” Scheme

Date 22/12/2015

The Securities and Exchange Commission today announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle charges that one of its portfolio managers unlawfully conducted prearranged trading known as “parking” that favored certain advisory client accounts over others.

EBA Consults On Draft Guidelines On Remuneration Requirements For Sales Staff

Date 22/12/2015

CFTC Staff Issues Request For Comment On Draft Technical Specifications For Certain Swap Data Elements

Date 22/12/2015

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Market Oversight and Office of Data and Technology staff today issued a request for comment on the draft technical specifications for certain prioritized swap data elements and associated questions.

MIAX Options Exchange - January 1, 2016 Transaction Fee Changes

Date 22/12/2015

Effective January 1, 2016, pending SEC approval, the MIAX Options Fee Schedule will be amended.