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Annual Changes To The NASDAQ-100 Index

Date 12/12/2015

Nasdaq (Nasdaq:NDAQ) today announced the results of the annual re-ranking of the NASDAQ-100 Index (Nasdaq:NDX), which will become effective prior to market open on Monday, December 21, 2015.
SIFMA Supports Increased Bond Market Price Transparency For Investors - Urges Uniform Disclosure Requirements

Date 12/12/2015

SIFMA, in a comment letter filed today with the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) on their revised proposals for retail confirmation disclosure of reference prices on certain fixed income securities, expressed its strong support for efforts to enhance bond market price transparency in a way that provides retail investors with useful, clear, and consistent insight into their transactions. SIFMA also notes its concern that the proposed approach lacks coordination and that any new confirmation disclosure requirement should be uniform in design and operation, as there is no policy justification for adopting divergent approaches or terminology between regulators in this context, and urges FINRA and the MSRB to embrace a uniform or harmonized approach to potential rulemaking.
Statement On Proposed Disclosure Of Payments By Resource Extraction Issuers, SEC Commissioner Kara M. Stein, Dec. 11, 2015

Date 11/12/2015

As my colleagues have already done, I would like to thank all the staff for their hard work on this rule. In particular, I would like to thank Barry Summer, Elizabeth Murphy, Jenny Riegel, Shaz Niazi and Elliott Staffin from the Division of Corporation Finance; Rich Levine, Brooks Shirey, Bryant Morris, Connor Raso, and Uzma Wahhab from the Office of the General Counsel; and Mark Flannery, Vanessa Countryman, Scott Bauguess, Simona Mola Yost, Vlad Ivanov and Igor Kozhanov from the Division of Economic Risk and Analysis.
SEC: Sports Team Offering Is A Penny Stock Fraud

Date 11/12/2015

The Securities and Exchange Commission today announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock company falsely touting itself as “the largest publicly traded diversified portfolio of professional sports teams in the world.”
Statement On Use Of Derivatives By Registered Investment Companies And Business Development Companies, SEC Commissioner Kara M. Stein, Dec. 11, 2015

Date 11/12/2015

Before thanking the staff, I want to take a moment to thank Commissioner Aguilar at what is likely to be his last open meeting. For your nearly seven and a half years of service as a Commissioner, you have been a champion and advocate for the investor. I have greatly benefitted from your perspectives and friendship since I have been here. You will be greatly missed, and thank you again for your years of distinguished service.

Dissenting Statement At Open Meeting On Use of Derivatives By Registered Investment Companies And Business Development Companies, CFTC Commissioner Michael S. Piwowar, Dec. 11, 2015

Date 11/12/2015

Thank you, Chair White. Today, we are considering a proposed new exemptive rule that addresses the use of derivatives and financial commitment transactions by registered investment companies and business development companies (collectively, “funds”). This proposal is the third in a series of initiatives aimed at ensuring that the Commission’s regulatory program fully addresses the increasingly complex portfolio composition and operations of the asset management industry.
CFTC Commitments Of Traders Reports Update

Date 11/12/2015

The current reports for the week of December 8, 2015 are now available.
SEC Proposes New Derivatives Rules For Registered Funds And Business Development Companies

Date 11/12/2015

The Securities and Exchange Commission today voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds (ETFs) and closed-end funds, as well as business development companies. The proposed rule would limit funds’ use of derivatives and require them to put risk management measures in place which would result in better investor protections.
ISDA EMEA Credit Derivatives Determinations Committee: Abengoa S.A. Failure To Pay Credit Event

Date 11/12/2015

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that its EMEA Credit Derivatives Determinations Committee resolved that a Failure to Pay Credit Event has occurred in respect of Abengoa S.A.
SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act

Date 11/12/2015

The Securities and Exchange Commission today voted to propose rules that would require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas or minerals. The proposed rules, mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, are intended to further the statutory objective to advance U.S. policy interests by promoting greater transparency about payments related to resource extraction.